I. Faculty Position Allocation Process

New faculty positions are allocated to the University based on enrollment growth from the previous year. These new faculty positions are allocated to the colleges by the Provost in response to annual proposals prepared by the Deans. At the time of the allocation, each position is designated as within one of four categories:

Tenure-Track Faculty Positions include positions at the professional ranks (assistant professor, associate professor, and professor) and instructor as described in Section 3 of the Tenure Document.

Non-Tenure Track Positions are special faculty positions dedicated to support faculty members or instructional support personnel employed in 1310 positions to meet permanent instructional needs of a college.

Graduate Assistant Position funds are allocated by the Graduate School Dean.

Special College Program Positions are those set aside by the deans to support special college programs, such as college-based reassignment of duties programs and visiting lecturers and scholars.

Existing faculty positions that are vacant (and the salary dollars attached to them) are assigned to "allocation pools" managed by the Provost and each of the Deans.

The Provost's Pool

The Provost's Pool consists of:

All new 1310 positions funded by the enrollment increase formula.

Positions identified to support the Campus Programs budget and other campus-wide initiatives.

A prudent permanent reserve to be allocated on an annual basis (to support unpredicted needs of the colleges, to augment support for faculty through Campus Programs, or to implement on a one-time basis the financial flexibility provisions to meet critical needs within the division for equipment, renovations, and operating expenses).

The Dean's Pool

The Dean's Pool for each college consists of:

New 1310 positions allocated to the college to support tenure-track and non-tenure-track faculty, graduate assistants, or special college programs. At the Dean's discretion, these positions may be filled immediately upon allocation or held vacant for one year while recruitments are initiated. "Graduate assistant" positions are expected to be filled within one year or less.

Resources in positions held vacant during recruitment are available to employ part-time faculty members and graduate assistants; pay the costs of recruitment (e.g., advertising and reimbursement of candidate travel expenses); provide summer compensation packages for new faculty; provide new faculty start-up equipment and lab renovations; purchase faculty office equipment and furnishings; match grants; fund faculty development projects; and purchase, maintain, and replace teaching and research equipment.

Resources in "graduate assistant" positions and core "part-time" positions are expected to be used for this purpose only. In exceptional situations, part-time core instruction resources may be used to augment graduate assistant resources. Salary resources may be moved among tenure-track positions but it must be understood that position upgrades by Academic Affairs are not automatic.

Previously-allocated tenure-track positions that are currently vacant.

Previously-allocated tenure-track positions vacated on a temporary basis due to extramurally-funded research or fellowships, reassignment of duties (including administrative assignments), and leaves without pay.

Positions vacated by retirement, death, or resignation of a faculty member.

II. Faculty Recruitment Process

At UNC Charlotte, we are committed to the recruitment of a diverse faculty, and define faculty diversity broadly to include all ways in which individuals differ. In particular, we are committed to increasing the numbers of people from groups which have been traditionally under-represented. We strive to ensure that our recruitment and hiring practices promote our University Vision and Diversity Goal, as excerpted below.

From our University Vision Statement: “UNC Charlotte will be known especially for the individual commitment of each member of its collegial and diverse faculty and staff to extending educational opportunity and ensuring student learning and success. . .”

From our University Diversity statement: “The University of North Carolina at Charlotte is committed to equality of educational opportunity and does not discriminate against applicants, students, or employees based on race, color, national origin, religion, sex, sexual orientation, age, or disability. In keeping with this commitment, UNC Charlotte actively seeks to promote diversity in its educational environment through its recruitment, enrollment, and hiring practices.”

From our University Diversity Goal: “…Increase the recruitment, retention, and success of faculty, staff, and administrators from diverse backgrounds and foster an environment that recognizes the benefits of diversity and supports an inclusive community.”

The faculty recruitment process begins with the Provost's allocation and transfer of a position to the College. The Dean authorizes and manages the recruitment and use of the position.

Deans authorize positions for recruitment on the basis of justifications for staffing priorities that address the goals and program needs of the department, college, and University, including diversity goals and needs.

After an authorization to recruit is received, a Recruitment Plan is developed which specifies how the position will be used and how the department will recruit for the position.

What is the difference between Affirmative Action and Diversity?

Diversity has been defined as differences among people, as well as "differences among groups of people." Diversity at UNC Charlotte includes all such differences, which are valued because they contribute to the educational mission of the institution. Affirmative Action is one vehicle we use to help us achieve our faculty diversity goals. Affirmative Action is a program which includes efforts to improve the employment or educational opportunities of members of minority groups or women.

Who is responsible for assuring University meets affirmative action and diversity goals?

Diversity and Affirmative Action are everyone’s responsibility. Although the Human Resources department is charged with legal compliance of all EEO/AA laws and mandates, this can only happen with cooperation from departments and search committees. Since hiring is generally a “bottom up” process, with the members of a search committee defining the pool of candidates and assessing their qualifications, affirmative action and diversity goals will never be achieved without the understanding and commitment of the entire campus community.

Academic units rely on search committees to identify and screen applicants for full-time vacant faculty positions. Search committee members may be from outside the unit as appropriate and should reflect diversity.

Receiving, reviewing, and evaluating the applications of the candidates,

Conducting interviews of the top candidates for the position,

Recommending the final candidate(s) to the chair or dean.

The charge to the search and screening committee will vary according to the needs for each position; however, it should address the following: time schedule for the search; the University's goals to increase faculty diversity; number of final candidates to be recommended; resources available to support the activities of the committee and pay for the expenses of candidates to be invited for interviews; administrative guidelines and tasks involved in the recruitment and screening processes; and the importance of confidentiality in the recruitment process.

Require a checklist of observable/quantifiable characteristics and the source(s) of information for each characteristic (CV, letters of reference, candidate statement etc.) that the search committee will use to evaluate each candidate’s portfolio in order to decrease the use of subjective criteria. The checklists should be attached to the Recruitment Plan (form AA-02).

Request that the search committee maintain a record of the processes (outlined in AA-02 and any others) used to enhance the pool of qualified women (where this would improve the diversity of the department) and of minority applicants. Include a description of these efforts on the Request to Interview form AA-04.

Explain that searches that fail to produce a qualified pool of diverse candidates (commensurate with disciplinary statistics on the national availability of under-represented candidates) may result in the following action by the Dean:

The Dean should evaluate the department’s / school’s search efforts, balance the immediate need to fill the position with the goal of selecting a candidate from a diverse pool of applicants, and decide whether to allow the search process to: a) proceed; b) require that the search be reopened; or c) reallocate the position.

The Equal Opportunity/Affirmative Action (EO/AA) Programs and Compliance Administrator located in the Department of Human Resources is available to consult with the committee as it organizes the search and screening process. This Administrator can assist with development of job descriptions, selection of media for announcing vacancies, the request for affirmative action data, and information about applicants who respond to the affirmative action data request.

A Recruitment Plan (Form AA-02) is prepared by the recruiting department for each position authorized to be recruited. The plan includes:

Position Information to describe the position by number, salary allocated to the position, 9-month or 12-month term of appointment, rank/title and specialty/discipline to be recruited, and present or former incumbent (if applicable).

Recruitment Information to indicate when and by whom recruitment was authorized; the salary range authorized for the recruitment; and when initial advertisements will appear, review of applications will begin, and the appointment is anticipated to be made.

An Advertising Plan to indicate where advertisements will be placed, when they will appear and the estimated cost. It describes special efforts that will be employed to diversify faculty.

Attachments to be included are copies of ready-to-mail advertisements and samples of flyers, vacancy notices, letters to implement the advertising plan, and a checklist of observable / quantifiable characteristics used in review of applicants.

The completed Recruitment Plan (AA-02) , signed by the Department Chair, is submitted to the Dean for approval. Upon approval, the Dean's Office forwards an information copy including a copy of the advertisement, to the University's Affirmative Action Officer, who will compile for the recruiting unit the information that applicants provide on the EPA Faculty Profile. The original is forwarded to the office of Academic Affairs as part of the appointment file when an offer of appointment to the position has been accepted.

Creating a broad, diverse pool of candidates is one of the most important functions of the search process. To be effective, the committee must be creative and aggressive in seeking to identify candidates.

Media

Most positions are advertised in media which have a national or international audience, e.g., The Chronicle of Higher Education and journals or newsletters published by national or international professional organizations. Occasionally, it is determined that a position can be filled most appropriately through a search limited to the State, region, or campus and the dean authorizes advertisements to be placed in media which serve the area of the search. Advertisements to appear in The Charlotte Observer are placed through the Human Resources Department. That office will submit the ad to the paper. The paper invoices the University for all advertising on a monthly basis.

Relying on “traditional” or “mainstream” publications and networks to announce a position will typically result in a “traditional” and “mainstream” pool of applicants. Utilize publications targeted at specific populations e.g. Women in Engineering, Association of Black Psychologists, Diverse, Women in Higher Education, Hispanic Outlook in Higher Education.

The Graystone Group can be used for your advertising needs. They will design the advertisement with UNC Charlotte's branding and can help you target minority populations.

Contacts

People contacts are much more effective in generating candidates than paper contacts. Consider recruiting in person at your national meeting. Many national associations also have caucuses for specific populations. Contact them as well, ask them to share the information, and ask for nominations of possible candidates. Utilize annual directories of recent Ph.D. recipients, such as those available from the Southern Regional Education Board’s Scholar Directory. The scholar directory is a database that showcases more than 700 accomplished doctoral scholars and successful Ph.D. recipients who are committed to pursuing careers in the professoriate. It consists of scholars from these participating organizations and programs: the Southern Regional Education Board (SREB), the New England Board of Higher Education (NEBHE), the National Institutes of Health (Bridges to the Professoriate NIGMS-MARC), the National Science Foundation (Alliances for Graduate Education and the Professoriate), and the Alfred P. Sloan Foundation. The database offers faculty and research recruiters an economical way to reach a diverse group of people. It includes access to: vitae, profiles, research and scholarship areas, as well as other information for all doctoral scholars and Ph.D. recipients who have attended the Institute on Teaching and Mentoring, the largest gathering of minority Ph.D.s and Ph.D. candidates in the nation.

The scholar directory is available only through subscription. To access the database, contact Academic Affairs (704-687-5774) for login name and password.

Content

An advertisement must require reference to our on-line application process at the Jobs Website, and must list documents to be included electronically with the on-line EPA Faculty Profile. An advertisement must be accurate and, especially for publications which charge by the length of the advertisement, concise. It should be written in a style appropriate for the publication in which it will appear. It should provide sufficient information for applicants to determine their interest in the position and to learn how to apply and to obtain additional information. The advertisement must be free from text or illustrative material which implies that preference will be given to applicants on the basis of race, gender, religion, national origin, color, age, or absence of disability unless one or more of these is a bona fide occupational qualification for the position. The advertisement may contain a statement of preference for candidates with qualification or experience in diversifying programs, working with a diverse population, researching diverse issues or developing educational course framework to benefit diverse students.

Please note that in order to develop advertisements and recruiting strategies most likely to yield a broadly diverse pool of applicants, departments and search committees are encouraged to consider the following.

Because most searches occur due to the departure of a current faculty member, there is a natural tendency to think as a replacement for the incumbent; in other words, we tend to seek individuals with the same areas of expertise and qualifications as the departing person; at this point a commitment to diversity should begin.

Both the requirements and the responsibilities of the position can and should be reconsidered to be certain that they are not simply the result of traditional practices but are genuinely related to the current and future needs of the unit, including the need to enhance diversity among faculty or staff. A position description should be written to include the following considerations.

A manner that attracts a diversified and broad range of candidates.

Qualifications should be defined broadly where possible. Given the historical exclusion of underrepresented groups from many graduate programs or other sources of preparation, too rigid or narrowly defined requirements may unnecessarily exclude potentially successful candidates from serious consideration (e.g. numbers 1 and 2 of the following).

Utilize qualifiers or adjectives with care; they may cause potential applicants to self select themselves out of consideration.

Examples of flexible wording in the position description:

"Candidates should possess a terminal degree," rather than "Ph.D. required".

"Candidates should have an advanced degree in counseling or a related discipline" rather than "degree in counseling required."

"Candidates should have a solid record of scholarship and research" rather than "candidates should have a distinguished or nationally recognized body of research and scholarships."

Although the specific topics to address in an advertisement will depend upon the type of position, the type of media, and the cost involved, the following topics typically are included:

Title/rank/tenure status of position

Place of position within the University organizational structure (i.e., to whom will the appointee report)

Name of department/college

Description of department/college, university, and community

Description of position

Educational requirements

Highest earned degree from regionally accredited institution

Qualifications: experience and knowledge

Length of appointment

Starting date

Academic expectations

Salary/benefits

Application materials to be attached electronically

Support available for dual career couples

Schedule for the search, including application deadline

Requirement that all applicants must apply through our on-line application process

Affirmative action statement

Link to the College/Department website (optional)

All advertisements must include:

The academic expectations and/or qualifications that will be used to screen applications and make an employment decision. It may be useful to distinguish between the minimum required for appointment and what, in addition, is preferred.

(Note: The advertised expectations and/or qualifications must be applied to all applicants: i.e., if an applicant is excluded from consideration for lack of a credential identified as a requirement for the position, all applicants who lack that credential must be excluded.)

The affirmative action statement: The following statements can be used.

UNC Charlotte is an affirmative action, equal opportunity employer or to reduce advertising expense, the following, notation:AA/EOE. The statement may be expanded to include: Women, members of minority groups, and persons with disabilities are encouraged to apply.

As an EOE/AA employer and an ADVANCE Institution that strives to create an academic climate in which the dignity of all individuals is respected and maintained, the University of North Carolina at Charlotte encourages applications from all underrepresented groups.

The starting date of the appointment and the schedule for the search. In cases where the search is expected to be straightforward, the statement might read, for example:

Position available August 16, 20XX; deadline for receipt of applications is February 1, 20XX.

Note: If this wording is used, only applications received by the deadline may be considered.

For most searches, more flexibility is needed and a statement such as the following could be used:

Position available August 16, 20XX, or January 1, 20XX. Review of applications will begin February 1, 20XX, and continue until the position is filled.

In this case, any application received before an offer of appointment is accepted may be considered.

Instructions for applying, including materials to be provided. Typically, such materials include curriculum vitae, letter of application relating qualifications to requirements for the position, and the names/addresses/telephone numbers of a specified number of persons knowledgeable about the applicant's background and qualifications.

At a later date in the recruitment process, candidates will be asked to submit additional materials including graduate transcripts and, if required, letters of recommendation.

The Affirmative Action Office in the Department of Human Resources is available to assist with preparation of advertisements.

Expenses

The Dean's Office pays for the advertising of positions. The Provost will consider special requests for assistance to cover the expenses of unusual searches, e.g., searches for Distinguished Professors or extra costs associated with specific media targeted at historically underrepresented groups. Ready-to-mail advertisements prepared by the departments are appended to the Recruitment Plan when it is submitted to the Dean. The advertisements are mailed to the media by the Dean's office when the Recruitment Plan and the "advertising plan" are approved. Cover letters accompanying advertisements should instruct the advertiser to forward invoices to the Dean's Office for payment.

UNC Charlotte is committed to equality of opportunity in employment for all qualified persons and does not discriminate against applicants or employees based on race, color, national origin, religion, gender, sexual orientation, age, disability, or status as a Vietnam Era Veteran. Further, the University is committed to affirmative action efforts to recruit qualified members of protected groups both for the effective implementation of its equal employment opportunity policy and for achievement of diversity on the basis of race, ethnicity, gender, and disability.

The chief administrator in each academic unit serves as the Unit Affirmative Action Officer and is responsible for all efforts within the unit regarding equal opportunity and affirmative action as specified in the University's Affirmative Action Plan. These responsibilities include advertising or announcing vacancies where they are likely to be seen by a wide variety of prospective applicants, including minorities and women; requesting assistance of institutions, organizations, and colleagues to identify qualified applicants from protected groups; assisting in the collection of demographic data on applicants; and ensuring that applications are reviewed and decisions are taken in compliance with the University's commitment to affirmative action, equal opportunity employment, and multicultural diversity.

The University Affirmative Action Office provides information for evaluating the effectiveness of each recruitment by listing on the Report of Recruitment Results and Request to Interview (Form AA-04) the sources of vacancy information indicated by applicants responding to the EPA Faculty Profile. (See Section II. F)

The EO/AA Programs and Compliance Administrator (x72804) is available to assist with efforts to enhance the effectiveness of the affirmative action recruitment process. For example, the recruiting department may obtain assistance with writing advertisements and identifying media to reach a wide variety of prospective applicants.

At the conclusion of each search, the University Affirmative Action office evaluates the affirmative action recruitment efforts for that position by reviewing the completed appointment file submitted to the Office of Academic Affairs with the Recruitment Plan, Report of Recruitment Results and Request to Interview, and Recommendation for Initial Appointment. A written evaluation of the search is provided to the Dean and the Vice Chancellor.

The previous sections of this Handbook have highlighted ways to broaden the pool of applicants in order to achieve greater diversity. Once the pool of applicants has been established, however, the committee will then proceed to select the candidate who is the most qualified for the position. To determine which candidate is the most qualified, the committee primarily should compare the candidate’s credentials to the position advertisement and job description. This is one of the reasons why the job advertisement must be carefully developed as it is this advertisement, along with the committee’s notes and selection justification that evidences the legitimacy of the employment decision. Such documentation is also imperative to defend allegations of an improper or discriminatory decision by the committee.

It is improper to intentionally discriminate by making a decision regarding a person’s employment status based upon that person’s race, sex, national origin, religion, disability, veteran status, etc. No decisions at the university, including hiring and other employment decisions, should be based on any such criteria. However, people often fail to consider that an employment criterion may result in unintended discrimination. This type of discrimination is referred to as disparate impact discrimination and requires some explanation.

Even where an employer is not motivated by discriminatory intent (that is, there is no intentional discrimination), the employer may not use what appears on its face to be a neutral employment practice if that practice has an unjustified adverse impact on members of a protected class. An obvious example of disparate impact discrimination would be to require all candidates for a position as assistant professor in an academic department to be at least six feet tall. Because this height requirement has no job-related justification and would statistically have a negative impact on the number of women eligible to be hired, this would constitute disparate impact discrimination.

Another example that demonstrates that having a disparate impact is not always improper would be a hiring department’s legitimate requirement that a successful candidate have a particular kind of experience or training that reflects a certain philosophy or theory. If that philosophy or theory happens to be current or recent (such as deconstructionist theory), the result may be that only those with recent training and experience (who are often younger) are qualified for the position. Thus, there could be a “disparate impact” on potential candidates who are older. However, as long as that requirement is justified by the needs of the hiring department, there is no other requirement that could be used as an alternative, and this requirement is not a pretext for hiring only younger candidates, it should be legitimate.

To achieve the university’s goals of fairness and legal soundness, search criteria and decisions on initial appointments should be examined and documented to ensure that only legitimate job-related criteria have been used. Even when such legitimate job-related criteria have been used, it is possible that there will be a disparate impact on a protected group. In such cases, it is important to examine whether an alternative standard is available that would eliminate the disparate impact while still achieving the university’s legitimate business goals. The Affirmative Action Office (ext. x72804) is available to assist the committee regarding its search criteria if there is a concern of possible disparate impact.

The University Affirmative Action Officer monitors the recruitment of applicants for faculty and EPA staff positions in order to evaluate the effectiveness of affirmative action efforts. This evaluation requires the collection of demographic data on the applicants for their positions. The means for gathering this information is automatically obtained by the EPA Faculty Profile.

Upon approval of the Recruitment Plan for a position, the recruiting unit advertises the position and solicits applications/nominations. An email acknowledgement thanking the candidate for applying at UNC Charlotte will be generated with a successfully submitted EPA Faculty Profile, provided the candidate included their email address.

The Affirmative Action Office compiles information from the EPA Faculty Profile to describe the applicant pool for each position being recruited. A summary of the information is appended as page 2 of the Report of Recruitment Results and Request to Interview (Form AA-04). In addition, the Affirmative Action Office provides information about the gender and ethnicity of the "Top Applicants" listed on page 1 of Form AA-04 if the applicants have disclosed this information. This information is returned to the recruiting department for use in assessing the effectiveness of the recruitment effort to reach members of protected groups.

Recruitment efforts that do not attract applications from appropriate numbers of individuals in underutilized categories are reviewed by the appropriate department chairperson and dean to determine if, and how, current recruitment efforts might be made more effective. Furthermore, a search that fails to create a diverse pool of candidates may fail to gain appropriate higher-level approvals.

Ordinarily, the competitive search conducted to identify applicants for full-time faculty positions will be national in scope. However, the administrator conducting the search may determine that the University interests are adequately protected by a search conducted on a more restricted search of smaller scope--regional, local or campus--or from a pool of applicants generated by a previous search. A justification must be included in the Faculty Recruitment Plan (AA-02) if the scope of the search is less than a national search.

Temporary Waivers of Competitive Search Requirements

Competitive search requirements may be waived on a temporary basis to meet special circumstances. The following list of such circumstances is intended to be illustrative, not exhaustive:

There is insufficient time to conduct a normal competitive search and the administrator can identify a pool of one or more qualified candidates from existing pools or through local or regional networks and advertising.

The administrator wishes to make an interim academic appointment for a period of one academic year or less while a competitive search is conducted.

The administrator wishes to appoint a faculty member of significant professional distinction to a visiting faculty position.

The administrator wishes to appoint an individual to fill a temporary vacancy created by a leave of absence.

To obtain a temporary waiver of normal competitive search requirements, the Department Chair should submit a signed Request for Waiver of Search Requirements Form (AA-03) to the Dean of the appropriate college for approval. The temporary waiver request should ordinarily be submitted before the Recommendation for Initial Appointment, but the Dean may allow the temporary waiver request for an appointment of one academic year or less to be submitted concurrently with the Recommendation for Initial Appointment.

The Dean is authorized to approve temporary waivers of search requirements for an appointment of one academic year or less.

Request for Permanent Waiver of Search Requirements

The following is a list of special circumstances where a search may be waived permanently. This list is intended to be illustrative, not exhaustive:

The administrator wishes to appoint an individual deemed essential to an organized research program.

The individual is uniquely qualified to fill this position by virtue of their experience and expertise in the field.

The administrator wishes to appoint an individual in response to an unusual opportunity to enhance the educational diversity of the faculty or otherwise to enrich the educational environment of the University.

In order to attract a very qualified candidate, it is sometimes necessary to also offer a faculty position to the candidate's spouse. Upon approval of the credentials of the spouse by the department and college, these appointments will be considered.

In all cases where a search is permanently waived, a Waiver of Search Requirements Form (AA-03), with a justification that explains the legitimate nondiscriminatory reasons for such a waiver, must be pre-approved by the Provost. This includes positions where a temporary waiver was done for the first year of appointment and the individual is to be reappointed without a search for a second year or subsequent term.

Upon the Provost's approval of this form, a copy of the AA-03 will be sent to the University Affirmative Action Officer.

In some instances recruitment efforts do not produce an appropriate pool of applicants for a position or for some other reason it becomes necessary to withdraw or suspend a search or to continue it into a new recruitment period. When this happens, the department chair submits a written request to withdraw, suspend, or continue the search to the Dean for approval. This request specifies the position number, rank/title, and specialty/discipline for the position and the reason(s) for withdrawing, suspending, or continuing the search. The dean is responsible for incorporating the result of the approved request in the Summary of Recruitment and use of College Positions that is forwarded to the Provost periodically. The Dean/Department Chair is responsible for informing the University Affirmative Action Officer about changes in the status of searches.

Upon the Dean's approval to suspend the search, recruitment for the position ceases until the Dean re-authorizes recruitment and a new recruitment plan is approved.

The Dean's Office is expected to maintain an up-to-date summary of the status of recruitment and the use of positions in the College. Copies of the summary are periodically forwarded to the Office of Academic Affairs.

The University is required to keep the files of all applicants for faculty positions for three years in order to respond to any questions that arise about search, screening, or appointment decisions.

The official personnel files of successful applicants are maintained in the Office of Academic Affairs and working files are kept as needed in the offices of department chairs and deans. The files of all other applicants are stored until they are scheduled to be destroyed.

University Policy 101.8 specifies that the files of unsuccessful applicants are to be retained in the department for three years and then destroyed.

III. Faculty Screening Process

There are generally four times in the search and screening process when decisions are made about which applicants will receive further consideration. Throughout the screening process, it is imperative that the reviewers apply the advertised expectations and/or qualifications for the position to all applicants in the same way; i.e., if an applicant is excluded from consideration for lack of a credential identified as a requirement for the position, all applicants who lack that credential must be excluded.

The initial screening separates ineligible applicants from eligible candidates by eliminating applicants who do not meet the minimum criteria advertised for the position. It may be done as applications are received, after the announced date for screening to begin, or after the announced date for applications to be received. The task is sometimes delegated to a subcommittee of the search and screening committee. A list of all applicants is compiled automatically with the on-line process as applications are received. Applicants determined to be ineligible will be coded using the on-line application software as "Not Selected as Finalist". An email is automatically generated once their status is changed in the system to inform them they are no longer being considered for the position (if they provided an email address on their EPA Faculty Profile). The candidates determined to be eligible for further consideration are subject to a second, more detailed screening.

The second screening is the major review to determine how well the candidates meet the job qualifications and criteria for the position. It is conducted after the announced date for screening to begin or for applications to be received. Search and screening committees should develop checklists to assist members of the committee in their review of the materials for each applicant. For example of what the checklist should entail, please click here. The screening criteria presented in the checklist may be more detailed than the advertised expectations and qualifications but they cannot be contradictory to them. This screening identifies the candidates for whom complete application files, including reference letters, will be compiled. The list of applicants is updated to indicate the candidates for whom complete files will be compiled.

The third screening takes place after complete application files of candidates are compiled. It produces a short list of the top candidates which is rank ordered and from which the candidates to be invited to campus for interview are selected. The list of applicants is updated for submission as part of the Report of Recruitment Results and Request to Interview (Form AA-04).

The fourth screening identifies the finalist(s) to be recommended to the department chair or dean. This selection is made after taking into consideration the opinions of the participants in the interview process.

IV. Faculty Interview Process

When the short list of top candidates for a position has been compiled and the candidates to be invited to campus for interview are selected, the recruiting department compiles a report of recruitment results and requests authorization to interview. This is accomplished by completing and processing a Report of Recruitment Results and Request to Interview (Form AA-04). The recruiting unit completes section 1 of the form and forwards a copy electronically, (EPARecruitment@uncc.edu) to the Affirmative Action Office in the Department of Human Resources thereby requesting completion of sections 1, 2, and 3. The Affirmative Action Office completes theses sections and returns it to the recruiting department. Once the recruiting department has completed section 4 and obtained the Chair's signature, the completed form, including the sections completed by the Affirmative Action Office is forwarded to the Dean for approval.

Invitations to candidates for on-campus interviews must be authorized in advance by the Dean. Preparation of the request for authorization to interview should include consultation with appropriate offices to determine possible dates available for interview. The offices to be contacted will depend on the type of position to be interviewed.

All candidates are interviewed by the Department Chair and Dean. The Provost and Chancellor interview all candidates for distinguished professorships (unless schedule conflicts would disrupt the interview process) and for appointment as department chairs. The Dean of the Graduate School interviews all candidates for distinguished professorships and, on the recommendation of the Dean of the recruiting unit, other senior candidates expected to have a major impact on graduate programs. The Provost and the Dean of the Graduate School may be requested to interview candidates for other faculty appointments at the request of a Dean.

A Report of Recruitment Results and Request to Interview (Form AA-04), credentials, and justification for each candidate to be interviewed must be processed far enough in advance of proposed interview dates to allow for careful review by the Dean. Justifications for interviews are expected to address the following: (1) relevant prior experience, (2) academic preparation and specialization, (3) qualifications specifically relevant to the position, and (4) other qualifications and experience relevant to educational diversity and other goals and programmatic needs of the department, college, and university. Note: While unofficial copies of transcripts may be sufficient for interviewing, an official transcript, mailed directly to the University, showing the highest degree earned by the candidate recommended for appointment must be submitted to the Office of Academic Affairs as part of the official personnel file within 30 days of the recommendation for appointment. The official transcript must be mailed directly to the University. (SACS requires the transcript to be kept on file and it is used to meet State requirements for reporting and verification of credentials.) When obtaining offical electronic transcripts Academic Affairs will need the Transcript Link and password emails. These may be sent in 2 separate emails. There may be a limited number of times this document can be accessed. An official electronic transcript should be transmitted directly from the issuing institution to the hiring department. Please have the Department Chair forward those emails to the College Business Manager, who will forward the emails to Academic Affairs.

If a candidate to be interviewed is not a U.S. citizen or permanent resident, the Director of the International Student/Scholar Office is consulted to review the candidate's current visa status and to assist the recruiting unit with the procedures for hiring foreign faculty/staff members. A completed Foreign National Information Form and an IRS Form 8233 signed by the candidate must accompany the Request to Interview.

The Report of Recruitment Results and Request to Interview (Form AA-04) form is used by the recruiting department to provide documentation regarding: (1) all the applications received for the position and (2) affirmative action data obtained from the EPA Faculty Profile. The EO/AA Programs and Compliance Administrator supplies a summary of the information disclosed by applicants on the EPA Faculty Profile and relevant information from the Affirmative Action Plan.

Candidates for whom English is a second language may be required to make a formal presentation (e.g. teach a class, make a research presentation, or submit a video of teaching) to enable an assessment of their command of the English language in a teaching context. The Director of UNC Charlotte's English Language Training Institute (ELTI) or his or her representative will observe this presentation and submit such assessment to the chair in an observation report. The chair and dean may consider this observation report in making a recommendation for appointment. If the candidate is appointed as a faculty member, the observation report may signal the need for an appropriate ELTI support program for that faculty member as he or she begins work at UNC Charlotte.

Candidates for positions in the Department of Languages and Culture Studies are interviewed both in English and the language they will teach.

After reviewing the report of recruitment results and the credentials and justification for interview of each candidate, the Dean uses the Report of Recruitment Results and Request to Interview (Form AA-04) to indicate approval, required modifications, or denial of the request for authorization to interview candidates. The original form is forwarded to the Office of Academic Affairs as part of the appointment file when an offer of appointment has been accepted.

Final arrangements for the interview are made as soon as the Report of Recruitment Results and Request to Interview (Form AA-04) has been approved by the Dean. This involves:

making arrangements for the candidate's travel and accommodations;

establishing an interview schedule and itinerary for the visit; and

distributing the interview schedule and itinerary to participants in the interview.

If the Chancellor, Provost and/or the Dean of the Graduate School are to interview the candidate, the Dean's Office makes the arrangements and forwards a copy of the candidate's interview schedule and file far enough in advance of the interview to provide the interviewer(s) an opportunity to review the candidate's file.

All candidates must complete a Criminal Background Check Disclosure Form (AA-38) at the time of the interview. When the finalist is selected, his/her disclosure form is submitted to Academic Affairs so that a criminal background check may be conducted prior to the formal offer of employment. Disclosure forms for the unsuccessful candidates should be retained in the department with the other applicant paperwork and can be destroyed in three years. The University Policy on criminal background checks is available on the Office of Legal Affairs website.

To qualify for reimbursement of travel expenses, the candidate’s travel must be approved in advance of the visit. (State funds may not be used to reimburse travel expenses for members of the candidate’s family.) The recruiting department accomplishes this by completing a Travel Authorization for Non-Employee form for each candidate. For guidelines regarding the Travel Authorization for Non-Employee form, please refer to the Travel Procedures Manual.

The Dean's office is responsible for forwarding the Travel Authorization for Non-Employee with original signatures, for each candidate, to the Travel Clerk in Financial Services before the travel dates.

Travel expenses of a candidate are reimbursed from resources allocated to the colleges. Deans authorize reimbursement on the basis of a properly completed Request for Reimbursement of Travel Expenses with required receipts and a copy of the Travel Authorization for Non-Employee.

Guidelines for Reimbursement of Travel Expenses

Reimbursement of Faculty Members for Purchase of Meals for Candidates and Faculty Entertainment Expenses

Please refer to the selection of the Travel Procedures Manual entitled 'Expenditures Incurred on Behalf of Job Candidates'.

Reimbursement for Faculty Expenses.

Academic Affairs allocates non-State resources to a College Faculty Recruitment Discretionary Account to be used by the Dean to reimburse faculty members for expenses incurred while entertaining candidates, e.g., alcoholic beverages and meals for faculty members. The allocation is based on the number of tenure-track positions planned to be recruited during the year. Each college has a set of guidelines for use of these resources.

The Direct Pay request to reimburse the faculty member is processed with the candidate's travel reimbursement form. The candidate's travel reimbursement form will not include meals for which a faculty member is being reimbursed.

Eligibility for Optional Retirement Program (ORP). The following employees are eligible for participation in optional retirement programs approved by the State: Lecturers and other Full-Time Special Faculty, Instructors, Assistant Professors, Associate Professors and Professors.

Effective Date for Health Insurance. The effective date for the health insurance benefit provided for eligible employees is the first of the month following employment. For example, faculty members employed on August 16 would have an effective date of September 1 provided proper application has been made. Contact the Benefits Office for additional information.

The University is required to verify "credentials or other information significantly related to job qualifications" (i.e., information about qualifications and experience used to make the employment decision) within 90 days after the date of initial employment for each person employed by the State. Some of this information may be verified in letters of recommendation for the candidate that have been provided by appropriate authorities. Verification of this information may be requested orally or in writing. (See Section XIII.G. Compliance with Requirements of External Agencies) In addition, the University is required to verify that all employees are eligible for employment in the United States.

The Chair/Dean are responsible for negotiations with the candidate regarding salary and other terms and conditions of employment, such as teaching load, laboratory start-up support, equipment, and moving expenses. The range of negotiation generally is limited, for example, by the salary resources allocated to the position and the availability of resources to support other needs. Since not all candidates are equally experienced or skilled in negotiation, care should be taken not to disadvantage the less experienced negotiator who presents comparable professional qualifications. Using a negotiations checklist should decrease giving advantage to particularly effective negotiations. Click here for an example.

The Dean is expected to consult with the Provost before making even an informal offer against resources, such as moving expenses that are not within control of the Dean.

The Chair and Dean are responsible for discussing the criteria and procedures for evaluation of faculty performance at each level of review (department, college, and University) with each candidate interviewed for a tenure-track appointment.

Professional and Scholarly Preparation

Professional and scholarly preparation required for appointment varies by rank, discipline, and position.

To be qualified for professional rank (assistant professor, associate professor, and professor), a person is expected to hold the appropriate terminal degree from a regionally accredited institution, or present evidence of comparable professional distinction in the field. (Section 3.2 of the Tenure Document.) To be qualified for the rank of instructor, a person is expected to be a candidate for the appropriate terminal degree or present evidence of comparable professional distinction in the field. It is expected that an instructor will complete the work necessary to be qualified for the rank of assistant professor and become eligible to be considered for promotion to that rank after one year and in no case shall appointment at this rank exceed two years. (Section 3.4.1 of the Tenure Document.)

Other, special faculty, appointments (see Section 3.4 of the Tenure Document) must meet or exceed the following minimum criteria described in Section 4.8 of the Criteria for Accreditation of the Commission on Colleges of the Southern Association of Colleges and Schools (SACS):

4.8.2.2 Baccalaureate

Each full-time and part-time faculty member teaching credit courses leading toward the baccalaureate degree, other than physical education activities courses, must have completed at least 18 graduate semester hours in the teaching discipline and hold at least a master’s degree, or hold the minimum of a master’s degree with a major in the teaching discipline. In exceptional cases, outstanding professional experience and demonstrated contributions to the teaching discipline may be presented in lieu of formal academic preparation. Such exceptions must be justified by the institution on an individual basis.

4.8.2.3 Graduate

Each faculty member teaching courses at the master’s and specialist degree level must hold the terminal degree, usually the earned doctorate, in the teaching discipline or a related discipline. In some instances, the master’s degree in the discipline may be considered the terminal degree, such as the M.F.A., the M.S.W., and the M.L.S.; in others, a master’s degree in the discipline coupled with a doctoral degree in a related discipline is considered appropriate. It is the responsibility, however, of the institution to justify the master’s degree, or master’s in the discipline coupled with a related doctorate, as the terminal degree for faculty members teaching in those disciplines. All faculty members teaching courses at the doctor’s degree level must hold the earned doctorate in the teaching discipline or a related discipline.

The Commission recognizes also that in unusual cases institutions may appropriately include as graduate faculty members those who have demonstrated exceptional scholarly or creative activity, or professional experience, but who may not possess the required academic credentials. There also may be an occasion when a new graduate discipline is in its formative stage in higher education and there are no faculty members available with academic credentials in the discipline. In either case, when an institution presents indicators of competence or academic credentials other than the doctorate in the discipline for its graduate faculty, it must justify the employment of such faculty.

Criminal Background Check Disclosure Statement

The University requires that criminal background checks be conducted on all new EPA non-faculty appointments. When a candidate is brought to campus for an interview, he/she completes the Criminal Background Check Disclosure Form. Once a finalist is selected, the unit head/division designee forwards his/her disclosure form to Academic Affairs and a criminal background check is conducted. When the check is completed, Academic Affairs will notify the contact person listed on the disclosure form. The hiring unit may then proceed with the offer of employment. In exceptional cases an offer of employment may be made prior to the completion of the Criminal Background Check, but the appointment is contingent on the completion of the criminal background check. The Criminal Background Reporting Procedures are available on the Office of Legal Affairs' website.

Non-residents (persons who are not U.S. citizens or permanent residents) must be cleared for employment before an offer of appointment is made. The International Student/Scholar Office assists departments with the processing of immigration paperwork for non-resident faculty. If any top candidates are non-residents, it is advisable that the department chair or hiring authority contact the Director of the International Student/Scholar Office (x77746) as soon as possible to discuss potential employment status and eligibility matters.

The fees associated with the processing of paperwork for employment eligibility are to be paid by the initiating department.

All appointments of non-resident faculty are contingent upon the employee’s maintaining appropriate visa status.

As part of the regular UNC Charlotte orientation for incoming faculty, the English Language Training Institute offers a one-to two-hour introduction to the U.S. classroom. Pertinent topics such as lectures vs. discussion, non-verbal communication, and conferencing are discussed. Contrasts between the cultural and pedagogical expectations of the faculty member and his or her students and colleagues are also discussed.

If the department feels that an international faculty member would benefit from more extensive assistance in language or classroom interaction skills, ELTI provides consulting services. Through a series of office conferences, analysis of student evaluations, and videotaped or "ethnographic" classroom observations, the ELTI consultant assists the faculty member in discovering the "problem" and finding a solution for it.

Appointments of instructors, tenured and tenure-track faculty members are made in accordance with Sections 3.2, 4 and 4.4 of the Tenure Document. In addition, Section 3.5 applies to dual appointments and joint appointments. The general procedures for these appointments, followed by the procedures for appointment specific to each rank, are described below. For more information on joint appointments, please see Appendix F.

Joint Appointments. Every faculty member holding a joint appointment must have a "home" or "primary" unit which is her/his primary appointment. This home unit must be a college or academic department. In any given year the percent of his/her time committed to the primary department may be less than 50%; however, the home unit once designated does not change unless the joint appointment is renegotiated.

If conferral of permanent tenure is recommended at the time of initial appointment, prior consultation with the Department Review Committee shall be documented by the department chair. The DRC shall review the candidate’s curriculum vitae, available letters of recommendation, and available examples of scholarly/creative work. Other materials may be requested by the DRC as appropriate. The DRC will provide the department chair with a written consultative statement regarding the conferral of permanent tenure. This consultative statement is not expected to be as extensive as a comprehensive tenure review but rather a judgment of the appropriateness of making an initial offer that includes the conferral of permanent tenure. Because of the consultative responsibility of the DRC, members of the DRC are encouraged to participate in the on-campus interviews of candidates for senior level faculty positions which hold the possibility of the conferral of permanent tenure. It is appropriate for department chairs to establish consultation deadlines in order for offers to be extended in a timely manner.

Offers of Appointment/Appointment Agreements

The Dean/Provost is responsible for issuing offers of appointment to candidates by executing an Appointment Agreement containing the terms and conditions of employment, including rank/title, salary, term of appointment, and other terms and conditions of appointment (if any).

Agreements for Joint Appointments. When a joint appointment is made, the salary of the faculty member is apportioned to the primary and secondary units according to an agreement worked out on an individual basis. Once this appointment is made, it is not subject to change unless the joint appointment is renegotiated with the Provost. This appointment continues in effect for as long as the person is employed by the University unless otherwise specified in the letter of agreement. The primary unit designation is not altered by subsequent changes in the distribution of salary.

At the time of the joint appointment, a letter of agreement must be entered into by the faculty member and the University that specifies faculty duties and responsibilities to the primary and secondary units (including voting privileges and committee service expectations) in faculty evaluations and other unit or faculty governance matters.

Support and Services. The letter of agreement signed by the faculty member and the University should specify how support such as computer hardware and software, travel funds, and office space will be supplied.

Accepted Appointments

When an appointment agreement is signed indicating that an offer of appointment is accepted, the Dean is responsible for certifying that the appointment file is complete, forwarding the completed file to the Office of Academic Affairs, and providing a written record of the verification of the appointee's credentials. The completed file includes:

The written record of the verification of credentials is added to the file with the original transcript. If the highest earned degree is issued from a foreign institution, a foreign degree evaluation is required to ensure equivalency to US academic credentials.

Official transcript must be mailed directly to the University. When obtaining offical electronic transcripts Academic Affairs will need the Transcript Link and password emails. These may be sent in 2 separate emails. There may be a limited number of times this document can be accessed. An official electronic transcript should be transmitted directly from the issuing institution to the hiring department. Please have the Department Chair forward those emails to the College Business Manager, who will forward the emails to Academic Affairs.

Procedures for Appointment Specific to Each Rank

In addition to the general procedures described above, there are procedures for appointment specific to each rank.

Instructors

The Deans have complete administrative authority to make appointments at the rank of Instructor according to the general procedures described above.

Assistant Professor

The Deans have complete administrative authority to make appointments at the rank of assistant professor according to the general procedures described above.

Associate Professor

The Deans have complete administrative authority to approve recruitments and interviews and to make recommendations to the Provost for appointments to the rank of associate professor, with or without conferral of permanent tenure. The Provost, in consultation with the Chancellor, is responsible for issuing offers of appointment that specify an appointment to the rank of associate professor without tenure. If the appointment of associate professor is with tenure, that appointment is contingent upon approval by the Board of Trustees. The Office of Academic Affairs is responsible for preparing the materials to submit the recommendations to the Board of Trustees.

Professor

The Deans have complete administrative authority to approve recruitments and interviews and to make recommendations to the Provost for appointments to the rank of professor, with or without conferral of permanent tenure. The Provost, in consultation with the Chancellor, is responsible for issuing offers of appointment that specify an appointment to the rank of professor without tenure. If the appointment of professor is with tenure, that appointment is contingent upon approval by the Board of Trustees. The Office of Academic Affairs is responsible for preparing the materials to submit the recommendations to the Board of Trustees.

Offers of Appointment/Appointment Agreements

The Dean is responsible for issuing offers of appointment to candidates and executing an Appointment Agreement including rank/title/salary, term of appointment, and other terms and conditions of appointment (if any).

Accepted Appointments

When an offer of appointment is accepted and the appointment agreement is signed, the Dean is responsible for certifying that the appointment file is complete, forwarding the completed file to the Office of Academic Affairs, and providing a written record of the verification of the appointee’s credentials. The completed file includes:

The written record of the verification of credentials (Form AA-34) is added to the file with the original transcript. If the highest earned degree is issued from a foreign institution, a foreign degree evaluation is required to ensure equivalency to US academic credentials.

Official transcript must be mailed directly to the University. When obtaining offical electronic transcripts Academic Affairs will need the Transcript Link and password emails. These may be sent in 2 separate emails. There may be a limited number of times this document can be accessed. An official electronic transcript should be transmitted directly from the issuing institution to the hiring department. Please have the Department Chair forward those emails to the College Business Manager, who will forward the emails to Academic Affairs.

Offers of appointment are issued in the form of an Appointment Agreement signed by the Dean or the Provost and accompanied by a cordial letter of invitation to join the faculty of the University of North Carolina at Charlotte. (Appointment Agreements for each rank are included in the section on Forms.)

Instructors, Assistant Professors, and Special (Non-Tenure Track) Faculty Members

Deans are responsible for issuing offers of appointment and executing Appointment Agreements containing the terms and conditions of employment (rank/title, salary, term of appointment, and any other terms and conditions) for Instructors, Assistant Professors, and special (non-tenure track) faculty members. (For more information on research faculty appointments, please see University Policy 101.16, Research Appointments).

Associate Professor and Professor

The Provost is responsible for issuing offers of appointment and executing Appointment Agreements containing the terms and conditions of employment (rank/title, term of appointment/tenure status, salary, and any other terms and conditions) for Associate Professors and Professors without tenure. Offers of appointment to these ranks with tenure must specify that the appointment is contingent upon review and approval by the Board of Trustees.

A summary of approvals required for faculty appointments is listed below.

Information required to place the new faculty member on the payroll is provided by completing the appropriate sections of the multi-purpose EPA Payroll Action Form (PD-7) and attaching it to the Recommendation for Initial Appointment when it is submitted to the Dean.

The Office of Academic Affairs is responsible for submitting the completed and approved PD-7 to the Budget office when the completed appointment file is received from the Dean.

VI. Academic Personnel Review Process

The performance of all academic personnel is reviewed and evaluated regularly to guide and support faculty development and to form the basis for academic personnel decisions including salary adjustment, reappointment, promotion, and conferral of permanent tenure. Guidelines and procedures for these reviews are summarized below.

Teaching is the primary responsibility of The University of North Carolina and each of its constituent institutions. To ensure that this responsibility is understood and appropriately considered in faculty personnel decisions, the Board of Governors (Administrative Memorandum #338) mandates each constituent institution to have policies and procedures that require:

Clear and specific statements of criteria for evaluation of faculty performance at every level (institution, college, department) that are provided in writing and discussed with each probationary faculty member before initial employment and at the beginning of the first term of employment and with each candidate being reviewed for reappointment or tenure at the beginning of the year in which the review is scheduled to be made;

A record of these discussions to be kept in the individual’s personnel file; and

Review procedures for the evaluation of faculty performance to ensure that:

Student evaluations and formal methods of peer review are included in teaching evaluation procedures;

Student evaluations are conducted at regular intervals (at least one semester each year) and on an ongoing basis;

Peer review of faculty includes direct observation of the classroom teaching of new and non-tenured faculty and of graduate teaching assistants; and

Appropriate and timely feedback from evaluations of performance is provided to those persons being reviewed.

To support its mission to provide informed and effective teaching, UNC Charlotte regularly evaluates the teaching of all members of the faculty. Faculty members use the results of these ongoing evaluations to improve their courses and instruction. The results of the evaluations conducted during the year are considered during the annual review, and the evaluations conducted since a faculty member’s last comprehensive review are considered during the next comprehensive review, e.g., a review for reappointment, promotion, and/or conferral of permanent tenure.

Student Evaluations of Teaching

It is expected that students will be provided an opportunity to evaluate their courses and instructors at the end of each term. Although departments and colleges may require more frequent evaluation, the Office of the Provost expects each faculty member to be evaluated at least once per year in each of the different courses (not sections) that he or she has taught.

Peer Review of Teaching

Each department and college has established policies and procedures for the peer review of teaching in their unit. The procedures must satisfy the requirements of Administrative Memorandum #338 for peer review of the teaching of new and non-tenured faculty and graduate teaching assistants. Departments and colleges are strongly encouraged to provide for peer review of teaching for all members of the faculty.

Teaching Portfolio

A teaching portfolio, including samples of course and instructional materials, teaching evaluations and self-assessments, results of experiments with new instructional technologies, and other materials about successes, failures, and efforts to improve teaching, can be an invaluable tool for faculty development and a useful component of other review processes. The department and/or college may provide guidance for the development of the teaching portfolio and its use.

Each department and college is expected to establish guidelines and procedures for the annual evaluation of all members of the faculty that are consistent with, and may be more extensive than, the following procedures for the annual evaluation of tenured and tenure-track members of the faculty that were established by the Faculty Council.

The job performance of every tenured and tenure-track faculty member will be evaluated each year. This evaluation will be undertaken by each department chair under departmental criteria and procedures. This evaluation process is a minimum requirement, it shall not supplant more extensive departmental procedures.

This review will always include an evaluation of teaching, scholarly work, and service. Each department will develop and apply guidelines for evaluating teaching, scholarly work, and service.

The annual evaluation shall be as follows:

For non-tenured, tenure-track faculty members, an annual evaluation conference shall be held prior to May 1 of every year. The chair shall discuss the faculty member’s strengths and weaknesses in the areas of teaching, scholarly activity, and service. Prior to the conference, the chair shall prepare and forward a "draft" evaluation to each faculty member. Tenured faculty members will receive a copy of the "draft" evaluation, but will not have a conference unless a conference is requested by either the faculty member or the department chair.

After the conference, the department chair shall then prepare a final written evaluation of said faculty member. The final written evaluation shall have a place for the faculty member’s signature which would indicate that the evaluation has been seen and discussed. The evaluation, and one copy will then be forwarded to the faculty member. For tenured faculty members who do not have a conference, the draft copy will become the final evaluation.

The faculty member shall sign the final evaluation acknowledging receipt. The faculty member may state in writing reason for any disagreement that s/he may have with the final evaluation.

The department chair shall place the annual written evaluation along with any faculty response in the faculty member’s personnel files and shall forward the evaluation and the faculty member’s response (if any) to the dean of his/her college.

Unusual circumstances, such as a faculty member on leave, shall be handled by the department.

Guidelines for Conducting Effective Annual Reviews

Expectations for performance in each of the areas of evaluation consistent with the mission of the institution, college, department and program must be clearly written and discussed with the faculty member at the time of appointment and reviewed and updated as appropriate as part of the annual review process.

The role of peers in the annual review process should be clearly defined in the statement of criteria and procedures established by each department and college.

Information to be provided by the faculty member as part of the review process must be clearly defined.

The written evaluation prepared by the department chair should clearly and specifically address strengths and weaknesses in the performance of the faculty member, providing for a clean plan and timetable for improvement of any deficiencies in performance. Effective annual evaluations should eliminate "surprises" in the comprehensive reviews pertaining to reappointment, promotion, and conferral of permanent tenure.

Allocation of Merit Increases

During the spring semester, the Office of Academic Affairs sends to all College Deans instructions on how to model the awarding of merit increases to full-time faculty based on anticipated state appropriated increases. Using these instructions as a guide, each College Dean is expected to develop his or her own written guidelines for the allocation of merit increases.

Standards for Review for Reappointment, Promotion and Conferral of Permanent Tenure

The initial appointment of a Faculty Member at the rank of Assistant Professor shall be for a term of four years. Before the end of the third year of the initial appointment as Assistant Professor, the Faculty Member shall be reviewed for reappointment. This reappointment review is mandatory. The faculty member shall receive written notice of reappointment at the same rank or of non-reappointment.

An Assistant Professor who is reappointed at the same rank shall receive an appointment of three years. During and before the end of the second year of the second appointment as Assistant Professor, he or she shall be reviewed for promotion to Associate Professor with conferral of Permanent Tenure. This tenure and promotion review is mandatory. The faculty member shall receive written notice of promotion to Associate Professor with conferral of Permanent Tenure or of non-reappointment. Permanent Tenure may not be awarded to a Faculty Member at the rank of Assistant Professor.

The initial appointment of a Faculty Member at the rank of Associate Professor without Permanent Tenure shall be for a term of three to five years. During and before the end of the penultimate year of the appointment as Associate Professor, the Faculty Member shall be reviewed for Permanent Tenure. This tenure review is mandatory. The faculty member shall receive written notice that he or she will be reappointed with Permanent Tenure at the same rank or of non-reappointment.

An Associate Professor with Permanent Tenure shall be reviewed for promotion at least once every five years, unless the Faculty Member postpones this review for promotion in writing for a specified period not to exceed five additional years. This right to postpone the review for promotion shall not modify the requirement that all Tenured Faculty Members undergo a comprehensive review every five years pursuant to the “Tenured Faculty Performance Review Policy.” An Associate Professor with Permanent Tenure may not elect to postpone periodic reviews as required under the “Tenured Faculty Performance Review Policy.”

Areas of Performance to be Reviewed

The areas of performance in which a faculty member is reviewed for reappointment, promotion, and conferral of permanent tenure are: 1) teaching, advising, curriculum and instructional development; 2) scholarly research, creative, and other professional activities; and 3) service to the University, the profession, the public and/or the community. As required by Section 3.1 of the Tenure Document, the assessment of the candidate’s performance in each of these areas addresses at least the following: (a) the faculty member’s demonstrated professional competence; (b) potential for future contribution to UNC Charlotte; and (c) institutional needs and resources. Community engagement refers to research/creative activities, teaching, and service activities that are collaboratively undertaken by faculty members with community partners, staff, and/or students through processes that exemplify reciprocity in partnerships and public purposes. Following are guidelines for reviewing each of the areas of performance:

1. Teaching, Advising, Curriculum and Instructional Development

Effective teaching is the primary mission of the University and, therefore, is an essential criterion for appointment or advancement. Clear documentation of effectiveness in this area is required for approval of any recommendation for reappointment, promotion, or conferral of permanent tenure.

Effective teaching encompasses a broad range of activities in addition to performance in the classroom, and the weighting of each may differ from case to case. The total performance of the candidate in this area must be evaluated according to established department and college criteria and standards, taking into consideration the types and levels of instructional activities assigned to and expected of the candidate.

Evaluation of the candidate’s teaching should consider at least the following:

Subject Competence. What subject areas and level of courses normally are taught by the candidate and what is their relevance to the department’s curriculum? Does the candidate have full command of the subject and an understanding of its relationship to other areas of knowledge? Is course content current and appropriate for the level of the course and curriculum?

Course Design. Are the courses taught by the candidate organized appropriately for their subject matter and placed within the curriculum? Are instructional strategies and course materials appropriate for the level of the course, size of the class, nature and preparation of the students, contact hours, and schedule of class meetings?

Course Presentation. Are course materials presented clearly and coherently? Does the candidate present the course with enthusiasm that supports the learning process? Is the course presented in a manner that stimulates the interest and involvement of students and challenges their abilities? What is the candidate’s impact on the quality of student performance?

Advising. What is the type and the extent of advising responsibilities of the candidate? What measures does the department use to evaluate advising effectiveness, and what are the results of these evaluations? To what extent has the candidate attempted to improve the effectiveness of advising? Have these efforts been successful?

Directing Student Research. What types and levels of student research have been directed by the candidate? How does the department evaluate effectiveness in guiding student research, and what are the results of these evaluations for the candidate?

Supervision of Graduate Teaching Assistants. What responsibilities has the candidate had, if any, for training, supervising, and evaluating graduate teaching assistants? How does the department evaluate effectiveness in fulfilling such responsibilities, and what are the results of these evaluations for the candidate?

Curriculum and Instructional Development. What has the candidate contributed to development of the curriculum, and how has this contribution been evaluated? How effective, innovative, and significant have the instructional strategies and materials developed and disseminated by the candidate been? What are the significance and results of curriculum and instructional development projects for which the candidate has been awarded grant funding? What are the quality and significance of other contributions to pedagogy by the candidate?

2. Scholarly Research, Creative, and Other Professional Activities

The University’s mission in the discovery, dissemination, synthesis, and application of knowledge requires that all members of the faculty are productively engaged in research, scholarship, creative, and other professional activities appropriate to their discipline or profession. Clear documentation for productivity in this area is required for approval of any recommendation for reappointment, promotion, or conferral of permanent tenure.

Engagement in research, scholarship, creative, and other professional activities takes many different forms depending upon the disciplinary or professional affiliation of the faculty member. Likewise, evidence of the productivity of this engagement varies widely from refereed publications to artistic productions to original designs to unique applications of existing knowledge to solve a problem. It is the responsibility of the department to ensure that the candidate and review participants at all levels understand what constitutes appropriate evidence and documentation of productive engagement within the discipline or profession, and the quality and significance of the work.

Evaluation of the candidate’s performance in this area should consider at least the following:

Publications. Publications, and the work they represent, must be evaluated and not merely enumerated. Work in progress should be assessed whenever possible and its status clearly identified, e.g., in press, accepted for publication, submitted for publication, or manuscript in preparation. A piece of work that has been disseminated through multiple outlets should be identified as such; e.g., it should be clear to the reviewers when a book chapter presents a piece of work previously published in a journal and/or a conference proceeding after originally being presented as a paper at a professional meeting. The department should assist reviewers to understand the status within the discipline or profession of the journal or type of publication, the rigor of the review process for acceptance, and any other special distinctions that should be considered. Appraisals of publications or other works in scholarly and critical literature would be useful in this process. Each author of a co-authored piece of work must be identified and the department must establish as clearly as possible the role of the candidate in the joint effort, e.g., the candidate’s role in the conception, planning and performance of the research work; the candidate’s role in the synthesis of the research results and in writing the manuscript; assessment of the importance of the candidate’s contributions relative to those of the other authors, and, when feasible, percentage of total effort on the project attributable to the candidate.

Presentations at Professional Meetings. Unless documentation to the contrary is provided, a paper or presentation at a professional meeting is not considered to have been critically refereed. If the contribution was peer reviewed or if it was specially invited, it is the candidate’s responsibility to provide appropriate documentation. It is the responsibility of the department to assist reviewers at all levels to understand the distinction of presenting at the meeting in question, the rigor of the review process for acceptance, and the significance to be attributed to an invitation to make a presentation.

Other Creative Scholarly Works. Artistic productions, designs, performances, exhibitions, and other creative works, like publications, must be evaluated and not merely enumerated. It is the responsibility of the candidate to provide any published reviews of the creative work by outside critics and appropriate documentation that a performance or exhibition has been juried. It is the responsibility of the department to assist reviewers at all levels to understand the significance the discipline attributes to the type of performance or exhibition and the credibility of the reviewers. Each collaborator in a collaborative production or performance must be identified and the department must establish as clearly as possible the role of the candidate in the joint effort and provide an assessment of the importance of the contribution relative to the contributions of the other collaborators.

On-going Agenda for Research, Scholarly and Creative Activities. Consideration should be given to other work in progress in terms of its place in the candidate’s on-going agenda for research, scholarly and creative activities. How does this work relate to that reported above; e.g., does it replicate or extend that work, or does it represent a new line of investigation? Identify work supported by grants or contracts and indicate the funding agency and the amount and duration of funding.

3. Service to the University, the Public, and the Profession

As a public university, the mission of UNC Charlotte is to provide for the educational, economic, social, and cultural advancement of the people of North Carolina. To fulfill this mission requires participation of members of the faculty in service activities that are distinct from but related to their roles as teachers and scholars. Contributions in these areas should be carefully documented, evaluated, and considered as positive factors in the reappointment, promotion, and tenure review process.

Such service includes participation in the administration and governance of the University and activities that involve the professional expertise of members of the faculty in the community or region outside the University. It also may include contributions of faculty members to their discipline or profession through service to professional societies and associations.

Evaluation of the candidate’s performance in this area should consider at least the following:

Contributions to the Administration and Governance of the University. Consideration should be given to administrative responsibilities and terms of service and their effectiveness. Recognition should be given to special contributions to the governance of the institution through service on committees at department, college, and University levels. It is the responsibility of the department to document the quality and effectiveness of a candidate’s service to the institution, not merely to enumerate administrative or committee assignments.

Public Service. Consideration should be given to activities external to the University that are based on the professional expertise of the candidate and related to the public service objectives of the institution. Such activities might include service on boards, committees, and task forces and through consulting arrangements. Delivery of continuing education workshops and non-credit courses might be included here or in the teaching area depending upon guidelines established by the candidate’s department and college. It is the responsibility of the candidate to provide accurate information about the nature and extent of these services; it is the responsibility of the department to obtain an assessment of their significance and effectiveness.

Service to the Profession. Faculty members often provide service to their profession through involvement in professional associations appropriate to their specialization. Contributions might take the form of editorial work or service as a referee for a professional journal; membership on committees; or holding an elective or appointed office. It is the responsibility of the candidate to identify these activities and provide appropriate documentation. It is the responsibility of the department to assess the quality and significance of the contributions and to assist reviewers at all levels to understand the status of these contributions within the professions.

Role of Departmental Faculty

Section 6.3.2 of the Tenure Document requires that the permanently tenured faculty members in the department, other than those who will participate in the review process at another level, who are at or above the rank for which a candidate is under consideration, shall be provided an opportunity to review the candidate’s review file and provide advice to the DRC. Every department is encouraged to develop a published process by which peer faculty may independently view a candidate’s review file and contribute feedback to the DRC. All persons who have access to a candidate’s review file shall treat the information as confidential personnel information as provided in section 5.2 of the Tenure Document.

The Review File

Compilation of the materials that will constitute the review file is a shared responsibility of the candidate, the Department Review Committee, the Department Chair, the College Review Committee, and the Dean. The completed file should consist of the following:

Dossier. A dossier is the candidate’s compilation of his or her professional activities that will form the basis for the review. At a minimum, the dossier includes the candidate’s current curriculum vitae and his or her self-assessment. The candidate for review has the major responsibility for compiling the dossier. The department chair may advise and counsel, but it is the candidate’s responsibility to provide a full and accurate accounting of the activities to be evaluated in the format specified by the department or college. An up-to-date curriculum vitae must be included and the candidate is encouraged to include a teaching portfolio. The vitae must clearly identify co-authored or collaborative works, those undertaken since the last comprehensive review, and those representing a piece of work that has been disseminated through multiple outlets. As they review the candidate’s dossier, it is the responsibility of the department and college review committees, department chair, and dean to make a written request for any missing or additional information or clarification needed for the review. The candidate’s self-assessment is also part of the dossier.

The candidate is expected to prepare a self-assessment of his or her performance in each of the major areas for review. This assessment should be written in the first person and organized according to guidelines provided by the department or college.

External Reviews. For cases involving consideration for promotion or conferral of permanent tenure, letters from three or more external reviewers are required. It is the responsibility of the department chair, Department Review Committee, or dean--depending upon established procedures of the department and college--to consult with the candidate to identify a pool of qualified external reviewers to assist with assessment of the quality and significance of the scholarly activity of the candidate. Departments may develop processes for soliciting additional letters of review related to teaching and/or professional service, but external review of scholarly activity is required of all faculty candidates for promotion and/or tenure. It is the responsibility of the candidate only to assist with the identification of a pool of persons appropriately qualified to serve as reviewers. The Department Chair, Department Review Committee, or Dean must select and contact the reviewers, provide representative well-organized materials to be reviewed, give them specific guidelines for the assessment they are asked to provide, and inform them that their review will be available to the candidate and to other tenured faculty upon request. The review file should include a description of the process for selecting the external reviewers, a brief explanation of why each was selected and the nature and extent of any prior personal or professional relationship between the candidate and the reviewer, and the guidelines provided to them. Upon request, these external review letters should be made available to the candidate and permanently tenured faculty members in the department who are at or above the rank for which a candidate is under consideration in accordance with Section 6.3.2 of the Tenure Document..

Analysis of the Candidate's Performance in Teaching. The Department Review Committee and/or Department Chair is responsible for preparing an analysis of the candidate's performance in teaching that (1) summarizes responses on student evaluations of instruction, including items assessing the overall quality of the course and compares them to the responses to these questions for all faculty in the department or other relevant faculty groups; (2) assesses course materials and other documentation that might be provided in a teaching portfolio; and (3)indicates specific strengths and weaknesses of the instructor identified by student, peer, and external evaluations and describes any actions being taken to correct deficiencies. This analysis becomes part of the review file (either as part of the DRC's recommendation or as a separate document).

Analysis of the Quality and Significance of the Candidate’s Scholarly or Creative Activity. The Department Review Committee and/or Department Chair is responsible for examining documentation of the candidate’s scholarly research, creative, and other professional activities, including the assessments solicited from external reviewers, and preparing an analysis of their quality and significance that is added to the review file (either as part of the DRC’s recommendation or as a separate document).

Analysis of the Quality and Significance of the Candidate’s Service Activity. It is the responsibility of the Department Review Committee and/or the Department Chair to examine documentation of the candidate’s service activities, including any assessments solicited from external reviewers, and prepare an analysis of their quality and significance to be added to the review file (either as part of the DRC’s recommendation or as a separate document).

Recommendation of the Department Review Committee. The analysis of strengths and weaknesses and the resulting recommendation prepared by the Department Review Committee should be addressed to the Department Chair. It should indicate the vote of the committee on the recommendation and be signed by all members to indicate that they have reviewed the full recommendation document. Significant minority opinions should be identified but need not be attributed to individual members of the committee. Separate minority recommendations may be written and submitted as an attachment to the recommendation of the committee.

Determination of the Department Chair. The analysis of strengths and weaknesses and the resulting determination prepared by the Department Chair should be addressed to the Dean. (If the determination is positive, a copy is given to the candidate when it is forwarded to the dean. If it is negative, he or she shall meet with the Faculty Member to provide the Faculty Member with a copy of the determination and its rationale, and to explain the Faculty Member’s right of rebuttal. Within fourteen Days after receiving a copy of the Department Chair's determination, the Faculty Member may submit to the dean and the chair his or her written rebuttal to the chair’s determination. Upon receipt of the Faculty Member’s rebuttal, or at the end of fourteen Days after the chair meets with the Faculty Member if the Faculty Member does not submit a rebuttal, the chair shall submit his or her determinations and rationales, together with the recommendations and rationales of the DRC, to the dean of the College). See section 6.3.2 of the Tenure Document.

Recommendation of the College Review Committee. The analysis of strengths and weaknesses and the resulting recommendation prepared by the College Review Committee should be addressed to the Dean. It should indicate the vote of the committee on the recommendation and be signed by all members to indicate that they have reviewed the full recommendation document. Significant minority opinions should be identified but need not be attributed to individual members of the committee. Separate minority recommendations may be written and submitted as an attachment to the recommendation of the committee.

Determination of the Dean. The analysis of strengths and weaknesses and the resulting determination prepared by the Dean should be addressed to the Provost. (If the determination is positive, a copy is given to the candidate when it is forwarded to the Provost. If the determination is negative, he or she shall meet with the Faculty Member to provide the Faculty Member with a copy of that determination and its rationale, and to explain the Faculty Member’s right of rebuttal. Within fourteen Days after receiving a copy of the Dean's determination, the Faculty Member may submit to the Provost and the dean his or her written rebuttal to the dean’s determination. If this rebuttal is the Faculty Member’s second rebuttal (following a prior rebuttal to the Department Chair’s negative determination), it should consist of (1) a copy of the first rebuttal with the original date and (2) a short addendum clarifying prior arguments and/or advancing new arguments. The addendum should not be a reiteration of arguments included in the first rebuttal. Upon receipt of the Faculty Member’s rebuttal, or at the end of fourteen Days after the Dean meets with the Faculty Member if the Faculty Member does not submit a rebuttal, the Dean shall submit his or her determinations and rationales, together with the recommendations and rationales of the CRC and the DRC, the determinations and rationales of the department chair, and the Faculty Member’s rebuttal(s), if any, to the Provost.) See section 6.3.3 of the Tenure Document.

Determinations and Documentation Reviewed by the Provost

Positive Determination. The file submitted to the Provost for a positive determination should include only the determination of the Dean (to which the recommendation of the College Review Committee, the determination of the Chair, and the recommendation of the Department Review Committee are attached) and the required documentation listed below presented in one manila file folder labeled with the name of the candidate and the action determined by the Dean. The remainder of the review file should be kept intact in the Dean’s Office until notified otherwise by the Provost’s Office.

Supporting documentation accompanying each positive determination to be reviewed by the Provost must include:

Negative Determinations

The full review file should be submitted to the Provost in cases where the determination of the Dean is negative. This should include any rebuttal letters by the faculty member to the Chair or the Dean.

Tenure Clock Extensions for Probationary Faculty

A one-year extension of the probationary period shall be granted for any approved FMLA leaves of absence (See University Policy #102.6). The FMLA leave is approved in the UNC Charlotte Benefits Office for the following reasons:

Care for newborn child

Care for adopted or foster child

Care for serious health condition of my child, spouse, parent

Care for my own serious health condition that prevents me from performing the functions of my position

A qualifying exigency arising out of the fact that my immediate family member is on military active duty or has been called to active duty status in support of a contingency operation

Serious injury or illness of a covered service member for whom I am next of kin

Below is listed other reasons that a tenure clock extension may be approved:

Exceptional delays in providing critical equipment, laboratory renovations, or other elements of the committed start-up package essential to establishing a viable research program.

Significant administrative duties during the probationary period for which adequate release time cannot be provided. This extension should be agreed upon by the chair and set forth in the appointment paperwork for the administrative position.

Extenuating non-professional circumstances not covered under FMLA that have had a significant impact on the faculty member’s productivity, including personal leaves of absence (see University Policy #102.15).

For non-FMLA reasons, requests must be made within one year of the “qualifying event” in a written memo to the department head prior to submission of the dossier. Approval by the chair and dean are required for probationary extensions with a memo to the Provost for formal notification. The faculty member may appeal denial of the request to the Provost. Decision of the Provost is final. Probationary period extensions are granted in one-year increments. A cumulative total of two years is normally the maximum probationary period extension for any combination of reasons.

Policies, Regulations, and Procedures

Recommendations for renewal of special faculty appointments must be developed according to Section 3.4 of the Tenure Document, the college and departmental policies, procedures, and criteria that implement them, the University’s Affirmative Action Plan, and the schedule established by the Provost.

Areas of Performance to be Reviewed

The areas of performance in which a candidate is reviewed for renewal of a special faculty appointment will depend upon the responsibilities assigned to them from the following: 1) teaching, advising, curriculum and instructional development; 2) scholarly research, creative, and other professional activities; and 3) service to the University, the public, and the profession. (See Section VI. C above for details.) The assessment of the candidate’s performance in any of these areas must address at least the following: (a) the faculty member’s demonstrated professional competence; (b) potential for future contribution to UNC Charlotte; and (c) institutional needs and resources.

The Review File

Compilation of the materials that will constitute the review file is a shared responsibility of the candidate, the Department Review Committee, the Department Chair, the College Review Committee, and the Dean. The completed file should consist of the materials described in Section VI. C above that pertain to the appointment being considered.

Recommendation and Documentation Reviewed by the Provost

The file submitted to the Provost recommending renewal of a special faculty appointment should include the following:

The purpose of Tenured Faculty Performance Review is to provide for the periodic and comprehensive review of the performance of all faculty members who have tenure and whose primary duties are teaching, research, and service. The goals of such a review are to promote faculty development and productivity and provide additional accountability. For more information on Tenured Faculty Performance Review, please click on the link.

Permanently Tenured and Tenure-Track Faculty Criteria and Procedures

The job performance of every permanently tenured and tenure-track faculty member will be evaluated each year. This evaluation will be undertaken by each department chairperson under departmental procedures and criteria. This evaluation process is a minimum requirement; it shall not supplant more extensive departmental procedures.

VII. Separation Process for Faculty

Separation from employment at the University by a member of the faculty may result from expiration of a term appointment, resignation, retirement, non-reappointment or discontinuation, discharge, termination, or death. The procedures involved in the separation process are generally the same for the various types of separation. Policies and procedures specific to each type of separation follow the section on general procedures presented below.

1. Written Notice

The process for separation from employment by a member of the faculty begins with receipt of written notice of the separation. This is expected to be provided by the departing employee in cases of resignation or retirement and is provided by an appropriate University administrator for separation resulting from expiration of a term appointment, non-reappointment or discontinuation, discharge, or termination. If written notice of resignation or retirement is not provided by the employee, the Unit Head/Division Designee writes a letter to the employee acknowledging the decision to resign or retire as of a specific date and this initiates the separation process.

2. "Notice of Separation" PD-7

The "notice of separation" section of a PD-7 must be completed and submitted to remove the employee from the payroll. This should be done as soon as possible, but at least two weeks before an employee is to be removed from the payroll due to resignation and at least 30 days before an employee is to be removed from the payroll because of expiration of a term appointment, non-reappointment, or discontinuation.

For a faculty member on 9-month appointment, the date for removal from the payroll at the end of the academic year is June 30. Regular payroll checks received in July and August are advance payment for work to be done during the fall semester. The faculty member who leaves employment before completing that fall semester must reimburse the University for the full amount of any overpayment.

3. Exit Interview with Benefits Office

Each department employee must have an exit interview with the Benefits Office. Letters to departing employees acknowledging or providing notice of separation should include a referral to the Benefits Office. "It is important that you make an appointment to meet with a representative of the Benefits office to discuss the effect of your departure on your employee benefits program."

4. Check-out Procedures

Following are items to be addressed by departing members of the faculty and their Unit Heads during the separation process: (See also the Checklist for Separation from Employment.)

Decline or return faculty research and other faculty development grants

Make arrangements for handling ongoing external grants and contracts

5. Personal Property

The University has no responsibility for personal property, including property in electronic format, left by faculty members in their offices, laboratories, or in other spaces, after the faculty member’s appointment expires, while the faculty member is on suspension, a leave of absence, disability, or away from the University for other reasons. Faculty members are solely responsible for making appropriate arrangements for the removal or protection of their property when they are separated or away from the university. If the faculty member has not made arrangements for storage of property with the appropriate chair or dean, or made arrangements to remove property, the property will be considered abandoned and the University has the right to remove and discard any such property. Chairs and deans who are faced with disposing the personal property of a faculty member should contact the Office of Legal Affairs for guidance.

6. Academic Affairs Exit Interview with Department Faculty Members.

The Office of Academic Affairs invites faculty members who decide to leave the University to participate in an exit interview with one of the Faculty Associates. The purpose of the interview is to learn why they have decided to leave UNC Charlotte and how they perceive the campus climate, academic work environment, and the nature and availability of resources and support. The goal is to identify our strengths and limitations in order to establish and maintain a campus environment conducive to faculty productivity and supportive of the teaching-learning process.

Procedures Applicable to Specific Forms of Separation

Non-Tenure Track Faculty. The term of employment of a special or non-tenure track faculty member appointed in accordance with Section 3.4 of the Tenure Documentis specified when the appointment is made, and that specification is deemed to constitute full and timely notice of non-reappointment when the specified term expires. The University has no obligation to consider future appointments and no obligation to provide further notice of the expiration of the appointment. Even though the appointment PD-7 may have a "remove from payroll" date, the Payroll Office requires a "Notice of Separation" PD-7 indicating "term expired" to remove the faculty member from the payroll. This PD-7 should be sent to the Provost as soon as possible, but no later than 30 days before the employee is to be removed from payroll. When it is received, the Vice Chancellor will forward the PD-7 to the Payroll Office and write a letter to the faculty member acknowledging his or her service to the University and making the referral to the Benefits Office. (The date for removal of a 9-month faculty member from payroll is June 30, 20XX).

A member of the faculty who decides to resign from employment at UNC Charlotte has the obligation to give timely written notice of the decision to resign, with its effective date, to his or her immediate supervisor. The supervisor immediately will accept the resignation in writing and forward the original letter of resignation and a copy of the acceptance to the Dean or Division Designee. That designee submits to the Vice Chancellor the letter of resignation and the acceptance with a "notice of separation" PD-7 indicating "resignation" as the reason for removal from the payroll. If the employee has not submitted a letter of resignation (with resignation date), the Dean/Division Designee should write a letter to the employee accepting the resignation as of a specific date and provide a copy with the "notice of separation" PD-7 to the Vice Chancellor. Upon receipt of these documents, the Vice Chancellor will forward the PD-7 to the Payroll Office and send a letter to the employee accepting the resignation and making the referral to the Benefits Office.

A member of the faculty who decides to retire from employment at UNC Charlotte has the obligation to give timely written notice of the decision to retire, with its effective date, to his or her immediate supervisor. The supervisor will acknowledge the retirement in writing and forward the original notice of retirement and a copy of the acknowledgment to the Dean/Division Designee, who is responsible for submitting the notice of retirement and the acknowledgment with a "notice of separation" PD-7 indicating "retirement" to the Vice Chancellor. If there is no letter of retirement (with retirement date), the Dean/Division Designee should write a letter to the employee acknowledging the retirement as of a specific date and provide a copy with the "notice of separation" PD-7 to the Vice Chancellor. Upon receipt of these documents, the Vice Chancellor will forward the PD-7 to the Payroll Office and send a letter expressing appreciation for the employee’s service to the University and making the referral to the Benefits office. See PIM #10: Submission of Applications.

Emeritus Status for Tenured Faculty. The notice of intent to retire provided by a faculty member who holds an appointment with permanent tenure at UNC Charlotte automatically will be considered a request for emeritus status. See University Policy 102.5, Emeritus Faculty.

Non-reappointment of Tenure-Track Faculty on Probationary Term Appointments. See Section 5 of the Tenure Document for detailed procedures for the review of tenure-track faculty members on probationary term appointments and for the review of decisions not to reappoint. Specific procedures for notifying the faculty member and relevant administrators of the non-reappointment decision also are provided in these sections. The Provost’s Office will forward the PD-7 to the Payroll Office and send a letter acknowledging the faculty member’s service to the University and making the referral to the Benefits Office.

Discharge of Members of the Faculty. The procedures for discharge of a faculty member for reasons of incompetence, neglect of duty, or misconduct are specified in detail in Section 8 of the Tenure Document. To complete the separation process for a discharged faculty member, the Dean’s Office prepares a "notice of separation" PD-7 citing "discharge" as the reason for removal from the payroll and forwards it with Affirmative Action Memorandum (Form AA-27) to the Provost’s Office. The Provost’s Office will forward the PD-7 to the Payroll Office and make the referral to the Benefits Office.

Termination of the Employment of a Faculty Member. The procedures for termination of the employment of a faculty member due to financial exigency or program curtailment or elimination are specified in detail in Section 8 of the Tenure Document. To complete the separation process for a faculty member whose employment is terminated, the Dean’s Office prepares a "notice of separation PD-7 citing "termination for financial exigency" or "termination for program curtailment (or elimination)" as the reason for removal from the payroll and forwards it with Affirmative Action Memorandum (Form AA-27) to the Provost’s Office. The Provost’s office will forward the PD-7 to the Payroll Office and makes the referral to the Benefits Office.

The death of a University employee requires responses from a number of university offices to assure that the deceased employee's interests and those of family and loved ones are respected and protected.

Any person in the University who learns of the death of a University employee should contact the Associate Provost for Academic Budget and Personnel immediately if the employee was Faculty. Upon receipt of such notification, the following steps will be taken.

The head of the employee's department/unit will be notified.

The Payroll Office will be notified. The office of Academic Budget and Personnel will prepare a PD7. The "separation date" and "remove from payroll date" should be the same: normally, the date of death.

If the employee was not a U.S. citizen or permanent resident, the office of International Students and Scholars will be notified.

The Chancellor's Office will be notified.

The Division of University Advancement will be notified.

The Chair of the Retired Faculty & Professional Staff Association will be notified.

The Benefits Office will be contacted.

The University's insurance office (x72138) will be notified if the death occurred during a period of travel on University business. Campus Police may also be contacted for assistance in obtaining accident reports from other law enforcement agencies.

The Unit Head’s Office secures the office/laboratory of the deceased until arrangements can be made for the family or other representatives to collect the personal property of the deceased.

VIII. Adjunct, Emeritus, and Part-Time Faculty

Sometimes it serves the instructional or research programs of a department and the University to establish a relationship with a person whose professional life is based outside the University or outside the appointing department within the University. This relationship may be established through an adjunct faculty appointment.

Adjunct faculty appointments are Special Faculty Appointments made in accordance with Section 3.4 of the Tenure Document. Appointment may be offered at any of the established ranks or titles for which the person is qualified. The "Adjunct" designation precedes the specific rank in the title, e.g., Adjunct Assistant Professor or Adjunct Lecturer. The particular rank offered shall be commensurate with the candidate’s education, experience, and professional distinction.

Adjunct appointments offered to a permanent or full-time employee of the University must be in compliance with Section 3.5 of the Tenure Document and other applicable laws and policy regarding dual or joint appointment and compensation.

An adjunct appointment may be with or without compensation. When compensated, fringe benefits applicable to other salaried special faculty appointments will apply.

Recommendations for adjunct faculty appointments are prepared by the department chair and submitted to the dean with a copy of the candidate’s vitae and letters of recommendation and other documentation, as appropriate. A recommendation for an adjunct faculty appointment without compensation typically is in the form of a letter which explains how the appointment serves the needs of the instructional or research programs of the department and the University and specifies the term of appointment. A recommendation for a full-time adjunct faculty appointment with compensation is made on Recommendation for Special Faculty Appointment (Form AA-06). A recommendation for a part-time adjunct faculty appointment with compensation or compensation of an adjunct faculty member for part-time teaching is made in the same form as other recommendations for part-time faculty appointments.

The deans have complete administrative authority to make adjunct faculty appointments. Deans are responsible for issuing offers of appointment to candidates which contain the terms and conditions of appointment, including rank/title, term of appointment, compensation status, and other terms and conditions of appointment (if any).

When an offer of appointment is accepted and a copy of the offer has been signed by the candidate and returned to the dean, the dean is responsible for forwarding the completed file to the Office of Academic Affairs.

The completed file includes:

Recommendation for appointment prepared by the department chair and approved by the dean

Vitae

Offer of appointment signed by the dean and the candidate

Letters of recommendation and other documentation, as appropriate. If the adjunct faculty member is to receive compensation, the file includes all materials required for any full-time special faculty appointment.

The University of North Carolina Phased Retirement Program is designed to provide an opportunity for eligible full-time tenured faculty members to make an orderly transition to retirement through half-time (or equivalent) service. The goals of the Program are to promote renewal of the professoriate in order to ensure institutional vitality and to provide additional flexibility and support for individual faculty members who are nearing retirement. The Program is entirely voluntary and will be entered into by a written agreement between an Eligible Faculty Member and the institution.

The Program is available only to full-time tenured faculty members. Non-tenured and tenure-track faculty are not eligible for the Program. Participating faculty must be at least age 50, have at least five years of full-time service at his or her current institution, and be eligible to receive a retirement benefit under either TSERS or the ORP. Faculty are individually responsible for providing to the institution age and service data needed to determine their Program eligibility.

On occasion, programmatic needs of a college or department require the continuation or reestablishment of a formal faculty employment relationship between the University and a retired member of the faculty. Deans have full administrative authority to make post-retirement faculty appointments based upon the following guidelines and University Policy 102.5, Emeritus Faculty.

Purpose

The Post-Retirement Employment Program allows the continuation or reestablishment of a formal faculty employment relationship between a retired Faculty member and the University.

The program is available only when documentation indicates that a specific faculty member’s qualifications and expertise are vital to the University’s programs and cannot be replaced by other members of the faculty or the community at large.

An appointment through this program is intended to be of limited duration, allowing time for the institution to identify and recruit a suitable replacement when one is allocated or to absorb the faculty member’s workload within the department.

The program does not guarantee employment to a retired faculty member. In all instances, an offer of post-retirement employment is solely within the discretion of the University and is based on departmental and institutional needs and resources. The program does not preclude individual faculty members from applying for part-time positions available at the University or from Phased Retirement.

Faculty members appointed to post-retirement terms shall have the title of Emeritus Professor, Emeritus Associate Professor, etc., as appropriate.

A contract for post-retirement employment shall be for a specific fixed term, with the possibility of renewal.

Because post-retirement employment can affect eligibility for retirement benefits, faculty members should consult the Benefits Office in the Department of Human Resources and other appropriate resources to determine the effect of such employment.

The Deans have complete administrative authority to make part-time faculty appointments.

Professional and Scholarly Preparation

Part-time members of the faculty must meet or exceed the minimum criteria described in Section 4.8 of the Criteria for Accreditation of the Commission on Colleges of the Southern Association of Colleges and Schools (SACS).

Compliance With Requirements of External Agencies. All part-time faculty appointments must comply with the requirements of external agencies described in Section XII of this Handbook.

Recommendations for Appointment

Recommendations for appointment of part-time members of the faculty are prepared by the department chair and submitted to the dean with a completed Offer of Part-Time Faculty Appointment (AA-15) form and a completed Electronic Personnel Action Form (EPAF). Recommendations for the initial appointment of part-time members of the faculty also should be accompanied by a complete personnel file, including vitae, official transcript documenting highest earned degree, letters of recommendation, authorization to release information, verification of credentials and other pertinent materials. Official Transcript must be mailed directly to the University. When obtaining offical electronic transcripts Academic Affairs will need the Transcript Link and password emails. These may be sent in 2 separate emails. There may be a limited number of times this document can be accessed. An official electronic transcript should be transmitted directly from the issuing institution to the hiring department. Please have the Department Chair forward those emails to the College Business Manager, who will forward the emails to Academic Affairs.

Offers of Appointment

The Dean is responsible for issuing approved offers of appointment which specify rank/title, term of appointment, salary, teaching assignment, and any other terms and conditions of appointment.

Accepted Appointments

When an offer of initial appointment is accepted and the signed offer of appointment is received, the dean is responsible for certifying that the appointment file is complete, forwarding the completed file to the Office of Academic Affairs, and providing a written record of the verification of the appointee’s credentials. The completed file includes:

Signed authorization for release of information for verification of credentials and notice of immigration law requirements (AA-33)

The written record of the verification of credentials (AA-34). Official transcript must be mailed directly to the University.

When a subsequent offer of appointment is accepted, the dean is responsible for forwarding a copy of the accepted offer of appointment to the Office of Academic Affairs with an approved EPAF.

Adjunct Faculty Who Teach on a Part-Time Basis

Individuals who have an adjunct faculty appointment without compensation may be employed to teach on a part-time basis during a specific term by following the procedures described above.

Adjunct appointments for persons who teach part-time on a regular basis have the advantage of requiring completion of the INS Form I-9 only the first time they teach as long as they have adjunct appointments. These appointments generally are made for a term of two years and are renewed by the dean upon the recommendation of the department chair.

Employment and Payroll Dates and Account Numbers

Part-time faculty appointments may be made for a semester; they begin on the first class day and end on the last day of final examinations in the term of appointment. Part-time faculty members are paid twice a month, on the 15th and the last working day of each month and receive either eight or nine checks depending on the semester. Payroll checks are direct deposited. Financial Services has established specific object codes to designate part-time faculty in the account numbers used in the EPAFs: 913200 (teaching) and 911100 (non-teaching).

Deadlines for Processing Part-Time Faculty Appointments. The schedule for completion of part-time faculty appointments is published in the administrative calendar distributed at the beginning of each academic year by the Office of Academic Affairs. The calendar can be found on the Office of Academic Affairs' website.

By specified deadlines each semester, the Dean is responsible for submitting a Summary of Part-Time Faculty Appointments (AA-16) for each department that lists full name, UNC Charlotte ID number, teaching assignment, FTE, salary, and highest earned degree of each appointee. (FTE is computed assuming 12 contact hours as a full load; e.g., a person teaching 3 contact hours equals 0.25 FTE.) An explanation for any appointment that does not meet the minimum criteria for professional and scholarly preparation specified in the Criteria for Accreditation of SACS must be attached to the summary. The forms for Faculty Qualifications Report (AA-21) may be used to provide this explanation.

Notice of Termination

The dean is responsible for notifying the Office of Academic Affairs immediately when a part-time faculty member stops work before the end of the term of appointment. The department should prepare the PD-7 for termination and submit to Office of Academic Affairs. To provide correct payroll information and eliminate overpayments, a written notice is required which specifies the last day worked and the percentage of the total salary the individual has earned.

Fringe Benefits for Part-Time Faculty

Social Security contributions are withheld from all compensation paid to part-time members of the faculty. No credit for amounts earned in the employment of another employer is permitted. A Social Security card must be presented and withholding forms must be completed in the Office of Personnel Services before payment of salary can be made.

Orientation, Supervision, and Evaluation of Part-Time Faculty

College deans and department chairs are responsible for ensuring that an orientation program is offered for all part-time faculty at either the department or college level. This orientation program should be conducted before the beginning of the respective semester or term, and should introduce part-time faculty to other department members, cover important instructional issues, and highlight programs and services that may contribute to the success of the part-time faculty member.

The department chairs are responsible for the supervision of the part-time faculty in their departments. Before the respective semester or term begins, each department chair should present, preferably in writing, all employment expectations to the part-time faculty members in his or her department.

Using established department procedures and criteria, each part-time faculty member must receive both an oral and written evaluation before the end of his or her employment contract.

Postdoctoral Fellows

Definition

A Postdoctoral Fellow ("postdoc") is a professional apprenticeship designed to provide recent Ph.D. recipients with an opportunity to develop further the research skills acquired in their doctoral programs or to learn new research techniques, in preparation for an academic or research career. UNC Charlotte embraces the principle of the National Academies’ Committee on Science, Engineering, and Public Policy (COSEPUP) that “the postdoctoral experience is first and foremost an apprenticeship whose purpose is to gain scientific, technical, and professional skills that advance the professional career of the postdoc.” In the process of further developing their own research skills, it is expected that Postdoctoral Fellows will also play a significant role in the performance of research at the University and augment the role of graduate faculty in providing research instruction to graduate students. A Postdoctoral Fellow works under the supervision of a regular faculty member, who serves as a mentor to the Fellow, and it is expected that the faculty mentor will impart the realities, and variety, of scientific careers, and will encourage experiences outside the laboratory to broaden postdocs' aspirations. Within the confines of the particular research focus assigned by that faculty member, the Postdoctoral Fellow functions with a considerable degree of independence and has the freedom (and is expected) to publish the results of his or her research or scholarship during the period of appointment. Thus, the role of Postdoctoral Fellows is clearly differentiated from full-time technical employees.

Postdoc appointments are characterized by all of the following conditions:

the appointee was recently (within the last eight years) awarded a Ph.D. or equivalent doctorate (e.g., Sc.D., M.D.);

the appointment is temporary;

the appointment involves substantially full-time research or scholarship;

the appointment is viewed as preparatory for a full-time academic and/or research career;

the appointee works under the supervision of a faculty member; and

the appointee has the freedom and is expected to publish the results of his or her research or scholarship during the period of appointment.

the appointee may teach one accredited course per semester in addition to his or her normal research appointment duties.

Appointment

Postdocs fall under a special category of temporary employment defined by University Policy 102.10. There are two key features of Policy #102.10 that faculty investigators should know:

The Office of Academic Affairs in coordination with Research and Economic Development has the responsibility for monitoring and applying policies that relate to postdoctoral appointments. Postdoc appointments are made using Academic Affairs Form AA-35 ("Agreement for Temporary Postdoctoral Fellow Appointment") and require the signature of the Department Chair, Dean, and the Senior Associate Provost of Academic Affairs.

A key feature of Research and Economic Development’s joint oversight is the degree to which the University's postdoc hiring is nationally visible. It is critical for UNC Charlotte's development as a research university that we be known for hiring Postdocs and for treating them well. Consequently, Postdoc opportunities should be communicated nationally within the discipline. This doesn't necessarily mean that expensive advertisements are needed, but rather that we make an effort to inform colleagues throughout the country of our openings.

Postdocs are appointed for one year and may be renewed for additional one-year increments. However, Postdocs will be limited to not more than five years' total duration, and we will count prior experience as a Postdoc in that five-year total.

Funding source changes do not require pre-approval and can be handled by an superseding PD-7, however if the appointment terms change (e.g. change in duties, change in pay, change in dates) a new contract may be required and the hiring department should contact the Office of Academic Budget and Personnel in advance of any proposed changes. Appointment term changes should be rare exceptions.

Benefits

As temporary employees, postdocs will not accrue vacation or sick leave. However, the University recognizes that postdocs will likely work non-standard hours in the course of their duties, and faculty supervisors may make appropriate arrangements for compensatory leave in accordance with the specific working conditions.

University Policy 102.10 states that "the Chancellor is authorized to arrange for Postdoctoral Fellows such health care coverage and retirement benefits as may be appropriate, consistent with the requirements of law and University policy." Under that Policy Statement, the University has classified postdocs as students for health care purposes, and the University's student health fee will be paid as a fringe benefit. The University will also pay for supplementary student health insurance for the employee, and the postdoc may pay to add family members to the insurance plan. Under this coverage, the postdoc first goes to the Student Health Center and may then be referred to outside primary health-care providers; family members may go directly to outside providers for health care. Note: Healthcare coverage ends the date the appointment ends (does not extend for 30 days). The University does not currently provide a retirement benefit but is exploring possible options for such a benefit.

The Postdoc Medical Insurance premium for the academic year (2018-2019) is below.

Annual Amount

Blue Cross Blue Shield

$3,938.76

Student Health Center

$243.00

Total Postdoc Medical Insurance

$4,181.76

For questions regarding eligibility, please contact Tangie Betterson in the Office of Academic Budget and Personnel at 704-687-5242.

Resources for Postdocs

IX. Appointment of TAs, RAs, and AAs

The goal of graduate education is transformation of the student into a professional and/or a scholar, and graduate assistantships at UNC Charlotte are conceived to facilitate this transformation. Whether the assistantship duties are performed in the classroom, the laboratory, or a University office, they provide valuable experience in teaching, research, or administration that is an integral part of the student's graduate education. The major goal of the assistantship is two-dimensional: to promote the student's progress toward a graduate degree and to provide additional resources to accomplish the mission of the University.

Graduate assistants receive financial support for their contributions to the teaching, research, and service missions of the University. However, the quality of their supervision, the kind of work they are assigned to do, and the outcomes expected of them distinguish graduate assistants from other employees--even those of the same educational background who receive similar pay.

The University makes a commitment to students supported through assistantships -- regardless of the source of the funding. A part of this commitment involves maintaining the synergistic relationship between the student's studies and assistantship responsibilities. Because these activities must be mutually reinforcing, the student's supervisor has the responsibility both to assure that assigned duties contribute to the student's graduate education and to guide the assistant through the assigned duties.

General Policies and Terms and Conditions of Appointment

The following policies and terms and conditions of appointment apply to all graduate assistants at UNC Charlotte. Failure to comply with these requirements may result in the denial or termination of an appointment.

To be eligible for appointment as a graduate assistant, an applicant:

Must have a baccalaureate degree, or a baccalaureate degree and work experience, that equips them for the assignment;

Must have been admitted to full standing in a graduate degree program; and

Must have had an undergraduate grade point average of at least 3.0 or better overall; or must have completed at least six hours of graduate work with a GPA of 3.0 or better.

To retain their appointment, graduate assistants:

Must participate in any required orientation program;

Must follow instructions of the employing department to complete the INS Form I-9 to certify eligibility for employment prior to the first day of employment. Assistantships will be terminated if no I-9 has been completed by the first day or employment. (International GAs complete this form in the International Student/Scholar Office.)

Must enroll in at least six or nine semester hours (or equivalent thesis / dissertation research) during each semester depending on the type of assistantship;

Must work no more than twenty hours per week in the assistantship and any other employment on or off campus;

Must perform assigned duties satisfactorily according to the terms of appointment and participate in the supervision and evaluation processes required for the assistantship;

Must maintain a grade point average of at least 3.0; and must make satisfactory progress toward completion of a graduate degree at UNC Charlotte or through an approved interinstitutional degree program.

General Policies and Requirements for Tuition Awards

The Graduate School has resources to provide tuition awards to a limited number of new and continuing graduate students who have assistantships during each academic year. Students must be nominated by their Graduate Program Director to be considered for these awards. The following policies and requirements apply to all graduate tuition awards at UNC Charlotte.

Doctoral Students

The Graduate Assistant Support Plan (GASP) is a highly competitive multi-year support package used to attract and retain top quality doctoral students to UNC Charlotte. Students enrolled in this plan are eligible to receive full payment of in-state tuition, non-resident tuition (if required), and health insurance. To be eligible a student must be a doctoral student who holds a graduate assistantship or appropriate fellowship of at least $6,000 for the academic year ($8,000 for the calendar year) and must be enrolled full-time (at least 9 credit hours) for each term of support. GASP Policy

Master’s Students

The Graduate School has three types of merit-based awards for master’s students: Philanthropic Awards, Exceptional Scholar Awards, and Merit-based Tuition Awards. Master’s students must hold a research or teaching assistantship of at least $6,000 for the academic year ($3,000 per semester.)

Teaching Assistantships. Graduate teaching assistantships enhance student understanding of the content and pedagogy of the discipline and extend faculty resources and their contribution to the teaching mission of the University. Graduate teaching assistants (GTAs) work under faculty guidance and are assigned a variety of instructional responsibilities depending upon their educational background and experience. These responsibilities are included in three major categories:

The assignment to GTAs of full responsibility for teaching courses in a classroom is subject to the Criteria for Accreditation of the Commission on Colleges of the Southern Association of Colleges and Schools (SACS) and UNC Policy Manual section 400.3.6: Training, Monitoring and Evaluation of Graduate Teaching Assistants.

GTAs who have primary responsibility for teaching a course for credit and/or for assigning final grades for such a course must have earned at least 18 graduate semester hours in their teaching discipline, be under the direct supervision of a faculty member experienced in the teaching discipline, receive regular in-service training and be evaluated regularly. (Comprehensive Standard 3.7.1.f)

Students for whom English is a second language may be appointed as GTAs only when the English Language Training Institute certifies that the applicant's proficiency in oral and written communication indicates that the appointment is appropriate. (UNC Policy Manual section 400.3.6)

GTAs must possess a demonstrated competence in the subject matter that they will be teaching as determined by experts in the field. They should have an appreciation for the theory and practice of the subject matter as well as a developing understanding of the major themes and divisions of their field. (UNC Policy Manual section 400.3.6)

GTAs should have an appreciation for the teaching and learning enterprise acquired from their own undergraduate and graduate academic programs, as well as by means of both required and optional teacher training seminars, symposia, workshops, publications, and university staff resources. Competency to teach includes an effective command of the language of instruction, usually American English, and an appreciation for the culture of the American university classroom. (UNC Policy Manual section 400.3.6)

GTAs must be graduate students in good standing in their programs. (UNC Policy Manual section 400.3.6)

A Graduate Research Assistant is an enrolled student who demonstrates good research potential, is seeking a degree at the master's or doctoral level and is assisting a faculty member in conduct of research.

1. Initial Appointment

Graduate assistants are appointed by the Graduate Dean upon the recommendation of the Graduate Coordinator/Director or Department Chair/Unit Head, the Principal Investigator if the assistantship is grant funded, and the Dean of the college or the Associate Provost of the area in which the appointment is to be made. Procedures for all appointments of GRAs and GAAs and for academic year appointments of GTAs are described below. Separate procedures for appointment of GTAs for the summer terms are described in Section 7.

Application for Graduate Assistantship. Prospective and continuing graduate students seeking appointment to a graduate assistantship are instructed to file an application in writing with the appropriate department. An Application for Graduate Assistantship (Form AA-28) is available for the convenience of the student and the department, but it is not required. It provides information for use by the Graduate Coordinator/Director or Department Chair/Unit Head and does not need to be forwarded to the College or Graduate School.

Recommendation for Appointment. The recommendation for the appointment of a graduate assistant is prepared by the Graduate Coordinator/Director (or Department Chair/Unit Head) or by the Principal Investigator if the assistantship is funded by a grant. It is submitted to the College Dean (or Associate Provost/Vice Chancellor) on the form for Recommendation and Payroll Authorization for Appointment to a Graduate Assistantship (Form AA-29). A Duties and Responsibilities (Form AA-30) addendum specifying the (1) educational requirements; (2) job requirements; (3) duties; and (4) performance standards for the assistantship is required for appointment of a graduate teaching assistant and strongly recommended for any other appointment to an assistantship. (The department retains a copy of the recommendation and the addendum for its files.) The College Dean (or Associate Provost/Vice Chancellor) is responsible for verifying the availability of funding for the assistantship and for forwarding to the Graduate School the original and five copies of the approved Recommendation and Payroll Authorization for Appointment to a Graduate Assistantship (AA-29) with the accompanying Duties and Responsibilities (Form AA-30). (The college retains a copy of the recommendation and the addendum.)

The amount of the stipend for the assistantship is established by the employing department and the College Dean (in consultation with the Director of Summer Programs for GTAs funded by Summer Programs.)

Offers of Appointment/Appointment Agreement. The Graduate Dean is responsible for verifying eligibility for an assistantship and making offers of appointment to the recommended candidates by executing an Appointment Agreement containing the terms and conditions of the assistantship, including title, stipend, term of appointment, and other terms and conditions of appointment (if any). The Duties and Responsibilities addendum to the Appointment Agreement, if any, will specify the (1) educational requirements; (2) job requirements; (3) duties, and (4) performance standards for the appointment.

The Graduate School mails the Appointment Agreement and Duties and Responsibilities addendum to the graduate student, or if the employing department prefers, forwards them to the employing department for transmittal to the graduate student.

Accepted Appointments. When an appointment agreement is signed and returned to the Graduate School indicating that an offer of appointment is accepted, the Graduate Deanis responsible for notifying the employing department, certifying that the appointment file is complete, and establishing the permanent personnel file for the graduate assistant. The completed file includes one copy of the (1) recommendation and payroll authorization; (2) the duties and responsibilities addendum; and (3) the signed appointment agreement.

Certification of Eligibility for Employment. The University (through the Student Employment Office, the Office of International Programs, or the employing department) has the responsibility to verify the identity and eligibility for employment in the United States of each new graduate assistant, to make a photocopy of the graduate assistant's original social security card, and to obtain completed supplemental employment forms (I-9, Selective Service Registration Compliance Statement, Federal and State Tax Withholding) from each of them. See Section IV. of the On-Campus Student Employment Policies and Procedures Guide distributed by the Student Employment Office for detailed instructions.

Each new graduate assistant must complete INS Form I-9 not later than the third day of the appointment period. The new graduate assistant completes the form as instructed by the employing department. Graduate assistants who have not presented the appropriate documents and signed the I-9 form by the third day of the appointment period must not be permitted to continue to work. The completed I-9, a copy of the social security card, and the other required supplemental employment forms are completed in or forwarded to the Student Employment Office.

The Student Employment Office is responsible for clearing the graduate student for employment on campus, notifying the employing department that the student may begin work, and forwarding the original and three copies of the Recommendation and Payroll Authorization form to the Budget Office. The Budget Office verifies account and position numbers and forwards the original and two copies to the Payroll Office which forwards a copy to Sponsored Programs, if external funding is involved. The employing department is responsible for ensuring that graduate assistants have been cleared for employment by the Student Employment Office before they are permitted to work more than three days.

2. Orientation

The Graduate School conducts a general orientation to teaching for all new graduate teaching assistants prior to the beginning of classes each fall and spring semester. All new GTAs are required to participate in the general orientation program and in the specific orientation to and training for their assistantship assignments conducted by the department in which they have their appointment. Failure of a GTA to participate in these orientation and training sessions may result in immediate cancellation of the appointment.

In addition, the Graduate School and the English Language Training Institute conduct a special orientation to the cultural aspects of instruction in this country in which all new international GTAs are required to participate. Each international GTA is tested for spoken English proficiency. Failure of a new international GTA to participate in these orientation and language assessment sessions may result in immediate cancellation of the appointment. A student who does not have the requisite proficiency in spoken English is not permitted to receive a classroom assignment and is required to attend one to two semesters of an English language class taught by the Institute. International GTAs must pass this class before they are permitted to receive a classroom assignment.

Employing departments are expected to provide each graduate research assistant and graduate administrative assistant with appropriate orientation to and training for their assignment. Failure of a new GRA or GAA to participate in orientation and training sessions required by the employing department may result in immediate cancellation of the appointment.

In addition to the orientation and initial training sessions, the Graduate School provides ongoing professional development opportunities for GTAs and the employing departments provide on-going training for their GTAs.

3. Supervision

Each graduate assistant is assigned a supervisor at the time of appointment. These supervisors are responsible for providing guidance and support to the graduate assistants and to ensure that they are prepared to carry out the duties of their assistantships.

4. Evaluation

The supervisor is responsible for evaluating the graduate assistant for effectiveness in carrying out the assigned duties and responsibilities as measured against the performance standards for the appointment. The process for conducting the evaluation is established by the employing department and is expected to include the following:

Evaluation of the effectiveness of the graduate assistant in carrying out assigned duties according to the performance standards for the appointment;

A conference in which the supervisor reviews the evaluation with the graduate assistant;

A written evaluation is required for graduate teaching assistants and strongly recommended for all assistants; it is signed by the graduate assistant to acknowledge receiving a copy of the evaluation and participating in the evaluation conference; and

Forwarding a copy of the evaluation signed by the graduate assistant to the Dean of the Graduate School for inclusion in the official personnel file of the graduate assistant.

5. Payroll

Graduate assistants typically are paid on the last working day of the month. Stipends for fall assistantships are paid September through December (although stipends may begin in August if all paperwork is processed and clearance for employment is received in the Payroll Office by August 15). Stipends for spring assistantships are paid January through April, and stipends for summer assistantships are paid at the end of the months worked between May and August. GTAs funded by Summer Programs are paid at the end of each summer session in which they work.

6. Reappointment

Graduate assistants are reappointed by the Graduate Dean upon the recommendation of the Graduate Coordinator/Director or Department Chair/Unit Head, the Principal Investigator if the assistantship is grant funded, and the Dean of the college or Associate Vice Chancellor for the area in which the appointment is to be made.

Terms and Conditions of Reappointment. To be eligible for reappointment as a graduate assistant, the student must comply with the General Policies and Terms and Conditions of Appointment specified above in Section IX.A.

Recommendation for Reappointment. The recommendation for the reappointment of a graduate assistant is prepared by the Graduate Coordinator/Director (or Department Chair/Unit Head) or by the Principal Investigator if the assistantship is funded by a grant. It is submitted to the College Dean (or Associate Provost/Vice Chancellor) on the form for Recommendation and Payroll Authorization form for Appointment to a Graduate Assistantship (Form AA-29). A Duties and Responsibilities (Form AA-30) addendum specifying the (1) educational requirements; (2) job requirements; (3) duties; and (4) performance standards for the assistantship is required for reappointment of a graduate teaching assistant and strongly recommended for any other reappointment to an assistantship. (The department retains a copy of the recommendation and addendum for its files.) The College Dean (Associate Provost/Vice Chancellor) is responsible for verifying the availability of funding for the assistantship and for forwarding to the Graduate School the original and five copies of the approved Recommendation and Payroll Authorization for Appointment to a Graduate Assistantship with the accompanying Duties and Responsibilities addendum. (The Dean/Associate Provost/Vice Chancellor retains a copy of the recommendation and addendum.)

Offers of Reappointment/Appointment Agreement. The Graduate Dean is responsible for verifying eligibility for an assistantship and making offers of reappointment to the recommended candidates by executing an Appointment Agreement containing the terms and conditions of the assistantship, including title, stipend, term of appointment, and other terms and conditions of appointment (if any) and a Duties and Responsibilities addendum as appropriate that specifies the (1) educational requirements; (2) job requirements; (3) duties, and (4) performance standards for the appointment.

The Graduate School mails the Appointment Agreement and Duties and Responsibilities addendum to the graduate student, or if the employing department prefers, forwards them to the employing department for transmittal to the graduate student.

Accepted Appointments. When an appointment agreement is signed and returned to the Graduate School indicating that an offer of reappointment is accepted, the Graduate Dean is responsible for notifying the employing department, certifying that the reappointment file is complete, and incorporating it into the official personnel file of the graduate assistant in the Graduate School. The completed file includes one copy of the (1) recommendation and payroll authorization; (2) the duties and responsibilities addendum, if any; and (3) the signed appointment agreement. The Graduate School retains a copy of the Recommendation and Payroll Authorization.

The Student Employment Office is responsible for confirming that the graduate student is cleared for employment on campus and forwarding the original and three copies of the Recommendation and Payroll Authorization form to the Budget Office. The Budget Office verifies account and position numbers and forwards the original and two copies to the Payroll Office which forwards a copy to Sponsored Programs Office, if external funding is involved.

7. Graduate Teaching Assistants (GTAs) Appointed for the Summer Terms

Graduate teaching assistants for the summer terms are appointed by the Graduate Dean upon the recommendation of the Graduate Coordinator/Director or Department Chair and either the College Dean (if the stipend is to be paid from college funds) or the Director of Summer Programs (if the stipend is to be paid from the summer term (102) budget).

Terms and Conditions of Reappointment. To be eligible for appointment as a graduate teaching assistant in the summer term, the student must comply with the General Policies and Terms and Conditions of Appointment specified above in Section IX.A.

Recommendation for Appointment. The recommendation for the appointment of a graduate teaching assistant for a summer term is prepared by the Graduate Coordinator/Director (or Department Chair). If the stipend is to be paid from college resources, it is processed using procedures described above for academic year appointments. If it is to be funded by the summer term (102) budget, the amount of the stipend is established in consultation with the Director of Summer Programs and the recommendation then is processed as follows. An original and three copies of the recommendation is submitted to the Graduate School on the form for Recommendation and Payroll Authorization form for Appointment to a Graduate Assistantship (Form AA-29). A Duties and Responsibilities (Form AA-30) addendum specifying the (1) educational requirements; (2) job requirements; (3) duties; and (4) performance standards for the assistantship is required. (The department retains a copy of the recommendation and addendum and sends an information only copy to the College Dean.)

Offers of Appointment/Appointment Agreement. The Graduate Dean is responsible for verifying eligibility for an assistantship and making offers of appointment (or reappointment) to the recommended candidates by executing an Appointment Agreement containing the terms and conditions of the assistantship, including title, stipend, term of appointment, and other terms and conditions of appointment (if any) and a Duties and Responsibilities addendum that specifies the (1) educational requirements,: (2) job requirements; (3) duties; and (4) performance standards for the appointment.

The Graduate School mails the Appointment Agreement and Duties and Responsibilities addendum to the graduate student, or if the employing department prefers, forwards them to the employing department for transmittal to the graduate student.

Accepted Appointments. When an appointment agreement is signed and returned to the Graduate School indicating that an offer of reappointment is accepted, the Graduate Dean is responsible for notifying the employing department, certifying that the appointment file is complete, and incorporating it into the official personnel file of the graduate assistant in the Graduate School. The completed file includes one copy of the (1) recommendation and payroll authorization; (2) the duties and responsibilities addendum; and (3) the signed appointment agreement. The Graduate School retains a copy of the Recommendation and Payroll Authorization and forwards the original and two copies to the Student Employment Office.

The Student Employment Office is responsible for confirming that the graduate student is cleared for employment on campus and forwarding the original and one copy of the Recommendation and Payroll Authorization form to the Office of the Director of Summer Programs. The Director of Summer Programs submits payroll information to the Payroll Office using a blanket PD7-S.

Separation. The employing unit is responsible for promptly contacting the Graduate School and the Director of Summer Programs when a graduate teaching assistant declines a contract, resigns, or must be dismissed. If the contract is declined, the employing unit sends a Notice of Separation (Form AA-31) to the Director of Summer Programs and the Graduate School, and the Graduate School voids the offer of appointment.

If the graduate teaching assistant resigns, the employing department prepares a Notice of Separation and forwards the original and three copies to the Graduate Dean and one copy to the Director of Summer Programs. The Graduate Dean distributes the original and one copy to the Payroll Office and a copy to the Student Employment Office. A copy of the student’s written notice of resignation is forwarded to the Graduate Dean with the Notice of Separation. If the student does not provide notice of resignation in writing, the employing department confirms acceptance of the resignation in writing to the student and forwards a copy of the confirmation to the Graduate Dean.

The employing department must consult the Graduate Dean to establish the procedure that must be followed if it is necessary to dismiss a graduate teaching assistant during the summer term.

Payroll. Stipends for GTAs funded by Summer Programs are paid at the end of each summer session in which they work. Stipends for other summer assistantships are paid at the end of the months worked between May and August.

8. Separation

The employing unit is responsible for promptly contacting the Graduate School when a graduate assistant declines a contract or resigns, or when the unit finds it necessary to dismiss the graduate assistant.

Declined Contract. In the event that a student declines an offer of appointment to an assistantship, does not report for duty, or resigns after accepting an appointment, the employing unit sends a Notice of Separation (Form AA-31) to the College Dean (Associate Vice Chancellor, or Director of Summer Programs, for a summer assistantship), the Student Employment Office, and the Graduate School. The Graduate School voids the offer of appointment.

Resignation. Upon receiving notice that a graduate student has decided not to continue an ongoing appointment as a graduate assistant, the Graduate Coordinator (or Department Chair/Unit Head) or the Principal Investigator if the assistantship is funded by a grant prepares a Notice of Separation (Form AA-31) for the graduate assistant. The department forwards the original and four copies of the form to the Graduate Dean and one copy to the College Dean (or Associate Vice Chancellor or Director of Summer Programs as appropriate). The Graduate Dean distributes the original and one copy to the Payroll Office, a copy to the Student Employment Office, and a copy to the Sponsored Programs Office if external funding is involved. A copy of the student’s written notice of resignation is forwarded to the College Dean (or Associate Vice Chancellor) and the Graduate Dean with their copies of the Notice of Separation. If the student does not provide notice of resignation in writing, the employing department confirms acceptance of the resignation in writing to the student and forward copies of the confirmation to the College Dean (or Associate Vice Chancellor) and the Graduate Dean.

Dismissal. A graduate assistant can be dismissed prior to the expiration of his/her contract for one of the following reasons:

Breach of the contractual agreement, e.g., neglect of duty, misconduct such as not teaching the appointed material in a class or missing mandatory activities, and/or violation of performance expectations;

Offenses such as academic dishonesty or sexual harassment; or

Not reporting for work, leading to the reasonable conclusion that the student has resigned the assistantship.

Because of the contractual nature of the relationship between the University and the graduate assistant, due process must be afforded the student before a decision to dismiss is reached. Employing units that find it necessary to dismiss a graduate assistant must consult the College Dean and the Graduate School to establish the procedures that will be followed during this process.

The Dean of the Graduate School will review the recommendations for dismissal from an employing unit and College Dean (Associate Vice Chancellor), and if he/she concurs, will notify the Payroll Office and the Student Employment Office that the contract has been terminated. The Payroll Office will inform the Sponsored Programs Office if external funding is involved.

Undergraduate teaching, laboratory, and research assistants are appointed as temporary wage employees.

Appointment of an undergraduate assistant is accomplished with the Student Temporary Wage Appointment form that is available from the Student Employment Office. Consult Section VI of the On-Campus Student Employment Policies and Procedures Guide for the policies and procedures governing these appointments.

Undergraduate assistants fill out the regular time cards that are submitted to the Payroll Office. The policies and procedures that apply to all temporary wage employees provide the appointment, review and appeal process for undergraduate assistants.

X. Appointment of Academic Administrators

Generally, as with all searches for faculty positions at UNC Charlotte, the search for a department chair will be as broad as resources permit. Thus, the initial step on the occasion of a vacancy or impending vacancy will be for the dean of the college, in consultation with the department involved, to determine whether or not a position is available to permit an unrestricted search or whether the new chairperson is to be appointed from among those already holding appointments on the UNC Charlotte faculty.

In some circumstances, the Dean may recommend to the Provost and the Chancellor that an Acting or Interim Chairperson be appointed in order to provide opportunity for a thorough search. Such appointments ordinarily would be for a period of less than one year, but, in unusual cases, could be renewed.

Composition of the Search and Screen Committee

Search and screen committees should be as small as possible, consistent with inclusion of the major perspectives important to the mission of the department and college. Most such committees will have in the range of 5 to 7 members.

The majority of the members of the appointed committee shall be selected from the faculty of the department.

At least two members of the committee shall be appointed from among UNC Charlotte faculty members not holding appointment in the department.

Search and screen committees may include members who do not hold appointments as members of the UNC Charlotte faculty.

Appointment of the Search and Screen Committee

The faculty of the department seeking a chair and the dean of the college will identify a pool of mutually acceptable nominees for membership on the search and screen committee from both inside and outside the department. The dean will appoint the search and screen committee from this pool of nominees.

The chair of the search and screen committee will be selected in a manner acceptable to the dean and faculty of each college.

All work of the committee, including its discussions, correspondence, and consultation with the departmental faculty will be considered confidential personnel matters and all rights of privacy will be respected. The committee, prior to the initiation of the search, will establish its procedures for monitoring appropriate confidentiality.

The routine operations of the search, including typing letters, assembling records and files, circulating credentials, and arranging meetings will be conducted at the direction of the chairperson of the committee by staff members of a specified office of the college.

Whenever possible, the committee will submit for consideration by the dean the names of two or more nominations for departmental chair who (i) are qualified to meet the responsibilities of the position; (ii) would be willing to serve; and (iii) would be acceptable to the faculty of the department. The dean, prior to reaching any conclusions, will discuss the nominations with the committee to obtain the full extent of their advice and, as appropriate, with the faculty of the department. At that, or any later time in the search and appointment process, the dean may request additional nominations from the committee.

The dean will present his or her recommendation, selected from among those nominated by the search and screen committee, to the Provost and the Chancellor. The dean’s recommendation will be accompanied by a report of the procedures followed and intermediate conclusions reached during the course of the search.

The Chancellor, (on approval by the the Board of Trustees if the appointment is with Tenure), will appoint the department chair. The term of appointment will be from three to five years at the discretion of the dean, although shorter terms are possible to accommodate specific circumstances. Reappointment of a chair to successive terms may be accomplished by action of the Chancellor on the recommendation of the dean and the Provost in consultation with the relevant faculties. No search is required. A decision may be made by the Dean to not renew a chair appointment and under normal circumstances, a dean should inform a chair about the non-reappointment decision prior to seeking a replacement.

In the event that an impasse should develop during the search process, the dean may dismiss the search and screen committee and begin the process anew.

Proposals for policies and procedures different from those specified above must be discussed with the Provost before proceeding.

Whether recruited from another institution or from among the members of a department’s faculty, an individual appointed to serve as a Department Chair has assumed a key position of academic and administrative leadership for UNC Charlotte.

However, the position of Chair places demand upon the time and energy of the individuals selected that may impede the professional development and advancement of Chairs within their academic disciplines. So that the institution can ensure the recruitment and retention of Chairs of high quality, it is important that there exist tangible and predictable financial and non-financial incentives associated with the position.

Length of Appointment

Under normal circumstances, Department Chairs are expected to serve on 12-month contracts. Contracts of from 9 to 11 months may be considered where, in the opinion of the dean, the assignment does not require a 12-month chair.

Teaching Load

It is important that Department Chairs maintain their currency in the classroom and their contact with students. However, the demands of being a Department Chair are so substantial that some relief from the teaching responsibilities ordinarily assigned to nine-month faculty is both appropriate and expected. Thus, while every chair will have some responsibilities for teaching and advising, the precise teaching workload should be a matter negotiated between the Dean and the Chair. Factors appropriate to be considered in that negotiation include the size and complexity of the Department to be administered; the number, enrollments, and relative difficulty of the courses to be taught; the Chair's scholarly activities; and the nature and extent of the Chair's other professional obligations and activities. In all cases, the total teaching load should be based upon some fraction of the normal teaching load of nine-month faculty.

Once the teaching load has been determined, the Dean and Chair shall negotiate the distribution of the courses to be taught over the fall and spring semesters and, in some cases, over the summer term as well. There is no separate teaching load associated with summer service.

Base Salary

The base salary for a Chair should be established by a formula that is based upon the nine-month professional salary. In the case of 12-month appointments, a Chair's nine-month salary should be prorated (9-month salary divided by 9 and multiplied by 12) to compensate for the additional 3-month appointment.

Administrative Stipend

The calculation of the base salary recognizes the time that chairs are asked to devote to administrative duties during the summer months. However, it does not recognize the additional responsibilities that the person appointed is being asked to assume. Because the assumption of administrative duties are essential to the effective operation of the University, it may also be appropriate to provide an administrative stipend that supplements the base salary. This decision is up to the Dean who may take into account the equity of salaries among the other chairs and/or the release from teaching responsibilities instead of providing a stipend.

Return to Faculty Provisions (Salary Fall-Back)

When an individual leaves a twelve-month position as Department Chair, the salary is adjusted to reflect the nine-month nature of a faculty appointment.

The Dean will recommend to the Provost the amount of the individual’s nine-month salary so that it will be comparable to the nine-month salary of faculty members with similar records of accomplishment, years of service and rank in the individual’s department and departments in other universities comparable to UNC Charlotte. The nine-month salary cannot be less than 75% of the last twelve-month salary (minus any administrative stipends).

In determining the appropriate nine-month compensation, the Provost and Dean shall take into account the quality of the individual’s administrative performance as chair; the extent to which the candidate’s academic accomplishments in teaching, research and service were compromised by service as Chair; and the individual’s promise for returning to productive academic activities after leaving the position of Chair. Upon returning to a faculty position and salary, the former Chair may apply for a Reassignment of Duties but would be subject to the rules and regulations of the College or Divisional Reassignment of Duties competition.

XI. Requirements of External Agencies

Immigration law (the Immigration Reform and Control Act of 1986) requires the University to verify the identity and eligibility for employment in the United States of all new employees.Each new employee must complete INS Form I-9 no later than the third day of employment. New employees complete the form in the Personnel Services Office in Human Resources.Employees who have not presented an appropriately signed form by the third day of employment must not be permitted to continue to work.

For more information on what is needed to complete the I-9 form and how to complete the I-9 form please see the Human Resources website.

All new University employees, including all faculty members, must file a signed "University of North Carolina at Charlotte Patent Agreement" in the Personnel Services Office within fifteen days after employment begins. This form acknowledges the employee’s obligations to disclose to the University any invention arising from the employee’s work which has been wholly or partially supported by the University and to assign the invention (and any related applications or patents) to the University or to others as directed by the University. The form also notes the employee’s right to receive a share of University revenue derived from licensing or sale of the invention.

All new employees must indicate compliance with registration requirements of the Military Selective Service Act. Faculty members sign a Statement of Selective Service Registration Compliance in the employing department which forwards them to the office of Academic Affairs.

A Faculty Qualifications Report (Form AA-21) is required each semester to document any exceptions to the Criteria for Accreditation of the Commission on Colleges of the Southern Association of Colleges and Schools (SACS) regarding the academic preparation of members of the Faculty. Form AA-21 is used by department chairs to list the full- and part-time faculty members whose formal academic preparation does not meet the requirements of the Criteria for Accreditation and those who have "unique experience and demonstrated competence" that substitute for the required formal academic preparation. The form is submitted to Academic Affairs each semester with the Summary of Part-Time Faculty Appointments (AA-16).

Before appointing an employee subject to the State Human Resources Act (SHRA) to teach, consult the Human Resources Department to determine whether the individual is subject to the Fair Labor Standards Act (FLSA). Individuals who are subject to FLSA must be paid at a premium overtime rate. Refer to Personnel Information Memorandum #37 for instructions.

Requirement. North Carolina law (NCGS 126-30) prohibits the fraudulent disclosure or willful nondisclosure of information relating to applications for State employment and requires verification of "credentials or other information significantly related to job qualifications" for each person employed by the State.

Responsibility. The dean/unit head is responsible for compliance with this State law and related University regulations for each person appointed to a faculty or staff position.

The dean/unit head has final responsibility for determining which credentials or other information are significantly related to qualifications for the appointment based on the academic expectations and/or qualifications advertised for the position and used to screen applications and make an employment decision. "Credentials" may include degrees awarded, professional licenses, professional registrations, and professional certifications. "Other information" may include prior work experience or prior study experience. It is expected that the highest earned degree is from a regionally accredited institution. If the highest earned degree is issued from a foreign institution, a foreign degree evaluation is required to ensure equivalency to US academic credentials.

Procedures. The verification of relevant credentials must be completed within 90 days after the date of initial employment, but may begin and be completed at any earlier time in the selection process. Completing the verification process for applicants other than the appointee is at the option of the dean.

The Authorization for Release of Information for Verification of Credentials, Statement of Selective Service Registration Compliance, and Notice of Immigration Law Requirements (Form AA-33) may be presented to any candidate at any time prior to, or at the same time as, an offer of initial appointment. It usually is presented to the candidate during the interview if it was not obtained earlier in the screening process. The release form must be signed and returned by the applicant before the department/college undertakes the verification of credentials. It can be copied to any university, board, or previous employer who seeks authorization to release the information sought. (See University Policy 101.12, Fraudulent Disclosure or Willful Nondisclosure in Applying for Employment.)

Verification may be completed by telephone, face-to-face, or by written correspondence, but a written record of each such verification must be maintained in the appointee’s personnel file. Each such written record must include, at a minimum, the following information:

Date of verification

Method of verification

Name and signature of the University representative completing the verification

Name of person or entity responding to the verification request

Copies of any documents secured in the verification process

Each written record of verification is added to the appointee’s personnel file in the Office of Academic Affairs as it is received. All verifications must be received there no later than 90 days after employment begins.

Contact the University's General Counsel immediately if any problem arises in completing the required verifications.

Requirement

In a report entitled Tenure and Teaching in the University of North Carolina, adopted on September 10, 1993, the Board of Governors, through the President of the University, instructed the Chancellors of each constituent institution to:

Review institutional mission statements, tenure policies, and the criteria for making faculty personnel decisions and, where necessary, to revise them so as to give explicit recognition to the primary importance of teaching in the University;

Revise institutional policies and procedures, as necessary, to require (1) that clear and specific statements of criteria for evaluation of faculty performance at every level (institution, college/school, department) are provided in writing and discussed with each probationary faculty member before initial employment and at the beginning of the first term of employment and with each candidate being reviewed for reappointment or tenure at the beginning of the year in which the review is scheduled to be made, and (2) that a record of these discussions be kept in the individual’s personnel file;

Review procedures for the evaluation of faculty performance to ensure (1) that student evaluations and formal methods of peer review are included in teaching evaluation procedures, (2) that student evaluations are conducted at regular intervals (at least one semester each year) and on an ongoing basis, (3) that peer review of faculty includes direct observation of the classroom teaching of new and non-tenured faculty and of graduate teaching assistants, and (4) that appropriate and timely feedback from evaluations of performance is provided to those persons being reviewed.

Review of Criteria and Procedures for Evaluation with Probationary (Tenure-Track) Members of the Faculty. It is the responsibility of the Department Chair to document compliance with the following requirements.

Prior to Employment

To discuss criteria and procedures for evaluation of faculty performance with each candidate interviewed for a tenure-track appointment.

During First Semester of Employment

To confirm that the faculty member has copies of the required documents;

To discuss the criteria and procedures for evaluation of faculty performance with each tenure-track faculty member.

During the Review for Reappointment

At the beginning of the review for reappointment, to discuss the criteria and procedures for evaluation of faculty performance with each faculty member being reviewed for reappointment.

During the Review for Tenure

At the beginning of the review for tenure, to discuss the criteria and procedures for evaluation of faculty performance and a tenure decision with each faculty member being reviewed for conferral of permanent tenure.

Annually, all full- and part-time faculty members and EPA staff employees are required to complete and submit the Annual Evaluation Form for Possible Conflict of Interest or Commitment on a schedule announced by the Provost. (See University Policy 102.2, Conflicts of Interest and Commitment,) This annual evaluation is intended to comply with Federal regulations and North Carolina statutes pertaining to conflicts of interest and commitment.

XII. Appendices

Retirement

All participants contribute 6% of pre-tax income, and participation is mandatory. You become vested after 5 years of service. Your 6% contribution is always your own property; however, you have no claim against the University’s portion until you have completed 5 years of service. You have two retirement options:

Teachers’ and State Employees’ Retirement Systems (TSERS) is a Defined Benefit Plan. This means that the benefit at the end of your career will be determined by a formula based upon your age at retirement, your years of service, the highest 4 consecutive years of salary, and the retirement multiplier set by the State legislature. This benefit cannot be transferred to another university outside the state of North Carolina. It is designed for those anticipating a full career at one institution, or someone who is close to retirement when he/she is hired.

Optional Retirement Program (ORP) is a Defined Contribution Plan. This means that the contribution made to your retirement plan is defined at the outset (6% from you and 6.84% from the University). However, the outcome is determined by investment carriers, each offering a variety of investment funds. This Plan is completely portable to another institution of higher education, and individuals have total control over their own contributions. Those carriers participating in the ORP are Fidelity, Lincoln National, TIAA-CREF, and VALIC.

Tax Sheltered Savings

There are three tax-sheltered savings plans currently being offered. These are commonly referred to by the IRS code provision numbers governing them: Section 401(k), Section 403(b), and Section 457 plans. When you elect to participate in any of these plans, you contribute money on a pre-tax basis. This lowers the amount of taxes you are currently paying while allowing you to save money for retirement.

Health Benefits

The University offers the Teachers’ and State Employees’ Comprehensive Major Medical Plan (State Health Plan), which is a standard fee-for–service plan that is subject to deductibles and coinsurance. The State Health Plan is free for employees only. Premiums for dependent coverage are payroll deducted on a pre-tax basis.

Effective dates for health insurance are normally the first of the month following the hire date. For example, faculty members employed on August 16 would have an effective date of September 1. You must apply for health coverage within 30 days of your hire date. By doing so, there will be no waiting periods or pre-existing condition clauses.

Dental

A high option and a low option traditional dental plan are available. Employee and dependent premiums are deducted on a pre-tax basis.

Disability Coverage

You are eligible for short-term disability after one year of service and for long-term disability after five years of service. There is no cost for this coverage. Disability supplements are available via payroll deduction.

Education

Employees are allowed to take three classes per academic year. The three courses may be taken as follows: No more than two of the three courses permitted each year may be taken during either the fall or spring term, and not more than one of the three courses may be taken during the summer instructional period (first summer session, second summer session, and other periods of instruction falling between spring commencement and the first day of classes for the following fall semester The maximum an individual will be permitted to take is three courses during the academic year (fall, spring, summer). For more information about this policy, please see University Policy #101.1 Tuition Privileges for Certain Faculty and Staff.

Workers’ Compensation

Social Security

North Carolina participates in Social Security and Medicare. Contributions are 6.2% of income to $72,600 for Social Security and 1.45% of total income for Medicare.

Additional Benefits

In addition to the benefits previously stated, vision care, auto and homeowner’s insurance, accidental death and dismemberment with a special travel assistance benefit, long-term care, and group life insurance are all available via payroll deduction. Savings bonds can also be purchased through payroll deduction on an after-tax basis. Direct Deposit is available for most banks, and a Credit Union is located adjacent to campus.

Facilities

The University library, pool, tennis courts, and other athletic facilities are available. Student Activity membership is available with cost depending on level of membership. Several cafeterias are located on campus. Some facilities listed above are also available to family members/domestic partners.

Leave

You may take Family and Medical Leave for parental leave or personal or family illness requiring your attention. Nine-month faculty receives regular salary and benefits continued for up to one semester after one year of service. Twelve-month faculty earns 12 sick days and 24 vacation days annually.

Dual Career Couples Employment Assistance

This program’s primary purpose is to assist spouses with finding employment in the Charlotte area. Though not a placement service, this can help spouses target the job hunt, identify likely employers, assist in creating a resume, and provide an employment network.

Parking

You may check with Parking Services for current rates and locations by calling 704-687-4276.

Pay Dates

Pay dates are the 15th and last day of the month. All faculty members are paid over 12 months (fiscal year is July 1 – June 30). New faculty receives 4/24 of their pay on August 31st.

This information is only a summary of the University’s benefits. To learn more about benefits, portfolios are provided. Also, if you have any specific questions, you should contact the Benefits Office. When you arrive on campus, a Benefits Orientation will be provided.

Vacation

Staff (EPA): 24 days per year
Staff (SPA): 11 ¾ - 25 ¾ days per year based on service

Sick Leave

All Staff receives 12 days per year

Holidays

Eleven days per year

Retirement

All participants contribute 6% of pre-tax income to the Teachers’ and State Employees’ Retirement Systems (TSERS), which is a defined benefit plan. Participation is mandatory. You become vested after 5 years of service. Your 6% contribution is always your own property; however, you have no claim against the University’s portion until you have completed 5 years of service.

Tax Sheltered Savings

There are three tax-sheltered savings plans currently being offered. These are commonly referred to by the IRS code provision numbers governing them: Section 401(k), Section 403(b), and Section 457 plans. When you elect to participate in any of these plans, you contribute money on a pre-tax basis. This lowers the amount of taxes you are currently paying while allowing you to save money for retirement.

Health Benefits

The University offers the Teachers’ and State Employees’ Comprehensive Major Medical Plan (State Health Plan), which is a standard fee-for–service plan that is subject to deductibles and coinsurance. The State Health Plan is free for employees only. Premiums for dependent coverage are payroll deducted on a pre-tax basis.

Effective dates for health insurance are normally the first of the month following the hire date. For example, if you begin work on August 16, your effective date would be September 1. You must apply for health coverage within 30 days of your hire date. By doing so, there will be no waiting periods or pre-existing condition clauses.

Dental

A high option and a low option traditional dental plan are available. Employee and dependent premiums are deducted on a pre-tax basis.

Disability Coverage

You are eligible for short-term disability after one year of service and for long-term disability after five years of service. There is no cost for this coverage. Disability supplements are available via payroll deduction.

Flexible Benefits

Workers’ Compensation

Immediate coverage is available and is coordinated through the Safety Office 704-687-4291.

Social Security

North Carolina participates in Social Security and Medicare. Contributions are 6.2% of income to $72,600 for Social Security and 1.45% of total income for Medicare.

Education

You may take two courses per year tuition-free once you have completed probation. You may take one course per semester during the fall semester, the spring semester, OR one summer session. You may NOT take a course during each summer session. For more information about this policy, please see University Policy 101.1, Tuition Privileges for Certain Faculty and Staff.

Additional Benefits

In addition to the benefits previously stated, vision care, auto and homeowner’s insurance, accidental death and dismemberment with a special travel assistance benefit, long-term care, and group life insurance are all available via payroll deduction.

Savings Bonds

Can also be purchased through payroll deduction on an after-tax basis.

Direct Deposit

Available for most banks.

Credit Union

A full-service credit union is located adjacent to campus.

Facilities

The University library, pool, tennis courts, and other athletic facilities are available. Student Activity membership is available with cost depending on level of membership. Several cafeterias are located on campus. Some facilities listed above are also available to family members/domestic partners.

Leave

You may take Family and Medical Leave for parental leave or personal or family illness requiring your attention after one year of employment.

Parking

You may check with Parking Services for current rates and locations by calling 704-687-4276.

Pay Dates

Pay dates are semi-monthly on the 15th and the last day of the month.

This information is only a summary of the University’s benefits. To learn more about benefits, portfolios are provided. Also, if you have any specific questions, you should contact the Benefits Office. When you arrive on campus, a Benefits Orientation will be provided.

Excerpt from Criteria for Accreditation
Commission on Colleges
Southern Association of Colleges and Schools

4.8 Faculty

The selection, development and retention of a competent faculty at all academic levels is of major importance to the educational quality of an institution. The commitment of faculty to institutional purposes determines in large measure the effectiveness of the total educational program. An institution must provide evidence that it has employed faculty members qualified to accomplish its purpose. Because of the importance of the faculty, the Commission on Colleges and its committees will give special attention to all criteria pertaining to faculty during institutional evaluations.

4.8.1 Selection of Faculty

An institution must show that it has an orderly process for recruiting and appointing its faculty. This process will normally involve developing a pool of qualified candidates and interviewing those who appear to be best qualified. Institutions are encouraged to recruit and select faculty with highest degrees earned from a broad representation of institutions. Recruitment and appointment procedures must be described in the faculty handbook or other published documents.

It is expected that an institution will employ faculty members whose highest earned degree presented as the credential qualifying the faculty member to teach at the institution is from a regionally accredited institution. If an institution employs a faculty member whose highest earned degree is from a non-regionally accredited institution within the United States or an institution outside the United States, the institution must show evidence that the faculty member has appropriate academic preparation.

Institutions must ensure that each faculty member employed is proficient in oral and written communication in the language in which assigned courses will be taught.

4.8.2 Academic and Professional Preparation

For the purpose of applying the Criteria,a full-time faculty member is one whose major employment is with the institution, whose primary assignment is in teaching and/or research, and whose employment is based on a contract for full-time employees.

Both full-time and part-time faculty must meet the following criteria for academic and professional preparation.

4.8.2.1 Associate

In an associate program, full-time and part-time faculty members teaching credit courses in the following areas: humanities/fine arts; social/behavioral sciences; and natural sciences/mathematics must have completed at least 18 graduate semester hours in the teaching discipline and hold at least a master's degree, or hold the minimum of a master's degree with a major in the teaching discipline. In exceptional cases, out standing professional experience and demonstrated contributions to the teaching discipline may be presented in lieu of formal academic preparation in the above areas. Such cases must be justified by the institution on an individual basis.

The Commission encourages interdisciplinary courses and recognizes that appropriate credentials for teaching may vary. The institution must document and justify the academic and professional preparation of faculty members teaching in such courses or programs.

Each full-time and part-time faculty member teaching courses in professional, occupational and technical areas other than physical activities courses that are components of associate degree programs designed for college transfer, or from which substantial numbers of students transfer to senior institutions, must have completed at least 18 graduate semester hours in the teaching discipline and hold at least a master's degree, or hold the minimum of the master's degree with a major in the teaching discipline.

Each full-time and part-time faculty member teaching credit courses in professional, occupational and technical areas that are components of associate degree programs not usually resulting in college transfer, or in the continuation of students in senior institutions, must possess appropriate academic preparation or academic preparation coupled with work experience. The minimum academic degree for faculty teaching in professional, occupational and technical areas must be at the same level at which the faculty member is teaching. The typical combination is a baccalaureate degree with appropriate work experience.

In exceptional cases, outstanding professional experience and demonstrated contributions to the teaching discipline may be presented in lieu of formal academic preparation for faculty members teaching both transfer and non-transfer courses in these areas. Such cases must be justified by the institution on an individual basis.

It is the responsibility of the institution to keep on file for all full-time and part-time faculty members documentation of academic preparation, such as official transcripts and, if appropriate for demonstrating competency, official documentation of professional and work experience, technical and performance competency, records of publications, certifications and other qualifications.

Non-degree diploma or certificate occupational courses are typically taught by faculty members with some college or specialized training, but with an emphasis on competence gained through work experience. While competency requirements may vary, they should be clearly defined by each institution. In all cases, faculty members must have special competence in the fields in which they teach. It is the responsibility of the institution to keep on file documentation of work experience, certifications and other qualifications if these are to substitute for or supplement formal academic preparation.

Faculty members who teach basic computation and communication skills in non-degree occupational programs must have a baccalaureate degree and, ideally, should have work or other experience which helps them relate these skills to the occupational field.

Faculty members who teach adult basic education courses below the collegiate level must have a baccalaureate degree, and also should have attributes or experiences which help them relate to the particular needs of the adults they teach.

Faculty members who teach in remedial programs must hold a baccalaureate degree in a discipline related to their teaching assignment and have either teaching experience in a discipline related to their assignment or graduate training in remedial education.

4.8.2.2 Baccalaureate

Each full-time and part-time faculty member teaching credit courses leading toward the baccalaureate degree, other than physical education activities courses, must have completed at least 18 graduate semester hours in the teaching discipline and hold at least a master's degree, or hold the minimum of a master's degree with a major in the teaching discipline. In exceptional cases, outstanding professional experience and demonstrated contributions to the teaching discipline may be presented in lieu of formal academic preparation. Such cases must be justified by the institution on an individual basis.

The Commission encourages interdisciplinary courses and recognizes that appropriate credentials for teaching may vary. The institution must document and justify the academic and professional preparation of faculty members teaching in such courses or programs.

It is the responsibility of the institution to keep on file for all full-time and part-time faculty members documentation of academic preparation, such as official transcripts and, if appropriate for demonstrating competence, official documentation of professional and work experience, technical and performance competency, records of publications, certifications and other qualifications.

At least 25 percent of the discipline course hours in each undergraduate major must be taught by faculty members holding the terminal degree, usually the earned doctorate, in that discipline. In some disciplines, the master's degree in the discipline may be considered the terminal degree, such as the M.F.A., the M.S.W., and the M.L.S.; in others, a master's degree in the discipline, coupled with a doctoral degree in a related discipline, is considered appropriate. However, it is the responsibility of the institution to justify the master's degree, or master's in the teaching discipline coupled with a related doctorate, as the terminal degree for faculty members teaching in these disciplines. The above requirement also applies to each major offered through distance learning, including those offered at branches or other sites.

Faculty members who teach in remedial programs must hold a baccalaureate degree in a discipline related to their teaching assignment and have either teaching experience in a discipline related to their assignment or graduate training in remedial education.

4.8.2.3 Graduate

Institutions offering either master's or specialist degrees must demonstrate a high level of faculty competence in teaching and scholarship. Institutions offering doctoral degrees must demonstrate the research capability of faculty members teaching in these programs. Eligibility requirements for faculty members teaching graduate courses must be clearly defined and publicized.

All institutions must have adequate resources to attract and retain a qualified faculty, especially in the disciplines in which doctoral programs are offered. Faculty members responsible for the direction of doctoral research must be experienced in directing independent study. In addition, those engaged in graduate teaching should demonstrate, by their involvement in institutional activities, their commitment to the academic community, the institution they serve, their students, and their academic disciplines.

Each faculty member teaching courses at the master's and specialist degree level must hold the terminal degree, usually the earned doctorate, in the teaching discipline or a related discipline. In some instances, the master's degree in the discipline may be considered the terminal degree, such as the M.F.A., the M.S.W., and the M.L.S.; in others, a master's degree in the discipline coupled with a doctoral degree in a related discipline is considered appropriate. It is the responsibility of the institution to justify the master's degree, or master's in the teaching discipline coupled with a related doctorate, as the terminal degree for faculty members teaching in those disciplines. All faculty members teaching courses at the doctoral degree level must hold the earned doctorate in the teaching discipline or a related discipline.

The Commission recognizes that in unusual cases institutions may appropriately include as graduate faculty members those who have demonstrated exceptional scholarly or creative activity, or professional experience, but who may not possess the required academic credentials. There also may be an occasion when a new graduate discipline is in its formative stage in higher education and there are no faculty members available with academic credentials in the discipline. In either case, when an institution presents evidence of competence or academic credentials other than the doctorate in the discipline for its graduate faculty, it must justify the employment of such faculty.

The Commission encourages interdisciplinary courses and recognizes that appropriate credentials for teaching may vary. The institution must document and justify the academic and professional preparation of faculty members teaching in such courses or programs.

It is the responsibility of the institution to keep on file, for all full-time and part-time faculty members teaching graduate courses, documentation of academic preparation, such as official transcripts and, if appropriate for demonstrating competence, official documentation of professional and work experience, technical and performance competency, records of publications, and certifications and other qualifications.

An effective graduate program depends on the scholarly interaction of faculty. The appropriate number of faculty members to adequately support a program varies according to discipline and the scope of the program. However, for each graduate degree program, an institution must employ at least four qualified full-time faculty members whose responsibilities include teaching in the program. All policies and regulations affecting graduate curricula, as well as requirements leading to graduate credit, certification and degrees, should be formulated by the graduate faculty or an appointed or elected group representing that faculty.

4.8.2.4 Distance Learning Programs/Activities

Institutions offering courses for credit through distance learning activities and programs must meet all criteria related to faculty. Whether through direct contact or other appropriate means, institutions offering distance learning programs must provide students with structured access to and interaction with full-time faculty members.

4.8.3 Part-Time Faculty

The number of full-time faculty members must be adequate to provide effective teaching, advising and scholarly or creative activity, and be appropriate to participate in curriculum development, policy making, institutional planning and governance. The employment of part-time faculty members can provide expertise to enhance the educational effectiveness of an institution but the number of part-time faculty members must be properly limited. Part-time faculty members teaching courses for credit must meet the same requirements for professional, experiential and scholarly preparation as their full-time counterparts teaching in the same disciplines.

Each institution must establish and publish comprehensive policies concerning the employment of part-time faculty members. It must also provide for appropriate orientation, supervision and evaluation of all part-time faculty members. Procedures to ensure student access to part-time faculty members must be clearly stated and publicized.

4.8.4 Graduate Teaching Assistants

The employment of graduate teaching assistants is a well-established practice in higher education, but should be carefully monitored. An institution must avoid heavy dependence on graduate teaching assistants to conduct classroom instruction. Each institution employing graduate teaching assistants must provide a published set of guidelines for institution-wide graduate assistantship administration, including appointment criteria, remuneration, rights and responsibilities, evaluation and reappointment.

Graduate teaching assistants who have primary responsibility for teaching a course for credit and/or for assigning final grades for such a course, and whose professional and scholarly preparation does not satisfy the provisions of Section 4.8.2 must have earned at least 18 graduate semester hours in their teaching discipline, be under the direct supervision of a faculty member experienced in the teaching discipline, receive regular inservice training and be evaluated regularly.

Institutions may appoint graduate teaching assistants for whom English is a second language only when a test of spoken English, or other reliable evidence of the applicant's proficiency in oral and written communication, indicates that the appointment is appropriate.

Institutions employing graduate teaching assistants must provide a structure for administrative oversight at a level above that of the individual academic units to ensure conformity with institutional policies and procedures.

4.8.5 Faculty Compensation

An institution should provide adequate salaries and benefits to attract and retain able faculty members. The institution should also provide a retirement plan, to which it contributes a reasonable percentage of the cost, and a plan for adequate insurance coverage. Salary increases must be based on clearly stated criteria.

4.8.6 Academic Freedom and Professional Security

Faculty and students must be free to examine all pertinent data, question assumptions, be guided by the evidence of scholarly research, and teach and study the substance of a given discipline. Institutions may endorse particular religious or philosophical beliefs, or specific social principles as they relate to the institutional statement of purpose. Such beliefs and principles may influence the curriculum and the selection of students, faculty and staff. Nevertheless, institutions of higher education exist to further the pursuit and dissemination of knowledge.

An institution must adopt and distribute to all faculty members a statement of the principles of academic freedom as established by the governing board, ensuring freedom in teaching, research and publication. Institutional policies must set forth the requirement for faculty members to carry out their duties in a professional, ethical and collegial manner that enhances the purpose of the institution. Although tenure policy is not mandated, each institution must provide contracts, letters of appointment, or similar documents to faculty members clearly describing the terms and conditions of their employment. All policies regarding employment, as established by the governing board, must be published and distributed to the faculty. If the institution uses faculty ranks and tenure, the policies and procedures for promotion, for awarding tenure, for providing adequate notice on non-renewal of a probationary appointment, and for termination of appointments, including those for cause, must be clearly set forth in the faculty handbook or other official publication. Termination and non-renewal procedures must contain adequate safeguards for protection of academic freedom.

4.8.7 Professional Growth

An institution must provide faculty members the opportunity to continue their professional development throughout their careers and must demonstrate that such development occurs. Among the means of accomplishing this goal are leaves of absence for study and research, additional graduate work in the discipline, participation in professional meetings, and in-service training such as instruction in computer usage. The general tone and policies of an institution must make it clear that individual faculty members are to take the initiative in promoting their own growth as teachers, scholars and, especially in professional and occupational fields, practitioners.

4.8.8 The Role of the Faculty and Its Committees

Primary responsibility for the quality of the educational program must reside with the faculty. The extent of the participation and jurisdiction of the faculty in academic affairs must be clearly set forth and published. Much of their business will normally be conducted through such structures as committees, councils, and senates, operating within the broad policies determined by the administration and governing board.

4.8.9 Faculty Loads

An institution must provide a faculty of adequate size to support its purpose. It must have procedures for the equitable and reasonable assignment of faculty responsibilities-including classroom instruction, academic advising, committee membership, guidance of student organizations, and research and service to the public. The institution should have policies to protect faculty members from assuming or being assigned internal or external responsibilities which might encroach upon the quality or the quantity of the work they are employed to perform for the institution. The calculation of instructional loads should take into account such factors as number of preparations, number of students taught, nature of the subject, and help available from secretaries and teaching assistants.

4.8.10 Criteria and Procedures for Evaluation

An institution must conduct periodic evaluations of the performance of individual faculty members. The evaluation must include a statement of the criteria against which the performance of each faculty member will be measured. The criteria must be consistent with the purpose and goals of the institution and be made known to all concerned. The institution must demonstrate that it uses the results of this evaluation for improvement of the faculty and its educational program.

Copyright 1998 by the Commission on Colleges of the Southern Association of Colleges and Schools.

For a nonimmigrant alien authorized to work for a specific employer because of his or her status:

Foreign passport; and

Form I-94 or Form I-94A that has the following:

The same name as the passport: and

An endorsement of the alien's nonimmigrant status as long as that period of endorsement has not yet expired and the proposed employment is not in conflict with any restrictions or limitations identified on the form.

Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A showingnonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI

or

List B

Documents that Establish Identity

Driver's license or ID card issued by a state or outlying possession of the United States provided it contains a photograph or information such as name, date of birth, sex, height, eye color, and address

ID card issued by federal, state, or local government agencies or entities provided it contains a photograph or information such as name, date of birth, sex,height, eye color, and address

School ID card with a photograph

Voter's registration card

U.S. Military card or draft record

Military dependent's ID card

U.S. Coast Guard Merchant Mariner Card

Native American tribal document

Driver's license issued by a Canadian government authority

For persons under age 18 who are unable to present a document listed above:

School record or report card

Clinic, doctor, or hospital record

Day-care or nursery school record

and

List C

Documents that Establish Employment Eligibility

U.S. Social Security account number card that is unrestricted. A card that includes any of the following restrictive wording is not an acceptable List C document:

NOT VALID FOR EMPLOYMENT

VALID FOR WORK ONLY WITH INS AUTHORIZATION

VALID FOR WORK ONLY WITH DHS AUTHORIZATION

Certification of Birth Abroad issued by the Department of State (Form FS-545)

Certification of Report of Birth issued by the U.S. Department of State (Form DS-1350)

Original or certified copy of a birth certificate issued by a state, county, municipal authority or outlying possession of the United States bearing an official seal

Native American tribal document

U.S. Citizen ID Card (INS Form 1-197)

ID Card for use of Resident Citizen in the United States (INS Form 1-179)

Employment authorization document issued by the Department of Homeland Security

I. Introduction

In September 1993 the Board of Governors of the University of North Carolina adopted a report entitled Tenure and Teaching in the University of North Carolina. One major section of the report dealt with faculty development designed to improve instructional effectiveness. With respect to graduate teaching assistants, the report made the following observation:

. . . It is encouraging to note that in all of these efforts some of our institutions, most notably the research universities, North Carolina State University and the University of North Carolina at Chapel Hill, have begun to give more conscious and serious attention to developing and strengthening the teaching skills of graduate teaching assistants. These two institutions employ the overwhelming majority of teaching assistants within the University, but other applicable institutions must also address this matter."

That greater efforts be made to develop and strengthen the teaching skills of graduate students, and that the Board of Governors ask the President to prepare, in consultation with the University-wide Graduate Council, a report with specific guidelines and recommendations for the training, monitoring, and evaluation of graduate students who teach courses in UNC institutions."

At the President's request, the Graduate Council, consisting of graduate deans and representatives of the graduate faculties at the various institutions, drafted a proposed set of guidelines and recommendations for consideration by the President's staff. Following the staff review and consideration by the Committee on Educational Planning, Policies, and Programs, the final report was adopted by the Board of Governors on June 10, 1994.

This policy statement summarizes the guidelines, recommendations, and reporting requirements applicable to the training, supervision, evaluation, and support of graduate teaching assistants (GTAs) who were assigned full responsibility, under faculty guidance, for teaching courses in a classroom setting. Each institution also is expected to consider appropriate adaptations of the recommendations for GTAs who provide laboratory instruction.

II. Guidelines

The use of graduate teaching assistants within the university is subject to the criteria of the regional accrediting body, the Commission on Colleges of the Southern Association of Colleges and Schools (SACS). The following University guidelines are consistent with the SACS requirements and have been established to assure that graduate teaching assistants receive the appropriate training, monitoring, and evaluation.

Graduate teaching assistants must possess a demonstrated competence in the subject matter that they will be teaching as determined by experts in the field. They should have an appreciation for the theory and practice of the subject matter as well as a developing understanding of the major themes and divisions of their field. They should have an appreciation for the teaching and learning enterprise acquired from their own undergraduate and graduate academic programs, as well as by means of both required and optional teacher seminars, symposia, workshops, publications, and university staff resources. Competency to teach includes an effective command of the language of instruction, usually American English, and an appreciation for the culture of the American university classroom.

Appropriate procedures to assure competence include the following:

GTAs will be offered a Teaching Contract from the hiring department which outlines (a) educational requirements, (b) job requirements, (c) duties, and (d) performance standards. A logical and effective match must be demonstrated between the level and requirements of the teaching assignment and the experience and knowledge of the prospective GTA.

In departments where teaching assistantships range from grading and discussion-group leadership to full-course responsibility, GTAs will be assigned to independent classes only after they have performed effectively in a less independent setting.

Formal training and evaluation programs will be provided for GTAs who are assigned the responsibility for teaching an undergraduate class. At the beginning and during that assignment, the hiring department will provide resources and opportunities for continued growth and development of the GTAs in the theory and practice of teaching. These resources may be school-wide programs, departmentally based programs in discipline-centered pedagogy, programs developed by several participating departments, off-campus programs and professional associations, or individual mentoring with faculty.

Departments will provide GTAs and their faculty supervisors with appropriate written guidelines on academic procedures and provisions for formal training and evaluation. The information should include a directory of other university resources available for the further development and training of the GTA.

The hiring department will verify that GTAs whose first language is not English possess adequate English language proficiency and communication skills. This verification will be in the form of a standardized test which includes an evaluation of verbal skills, supplemented by a personal review by the department's supervising faculty mentor. For the new non-native speaking GTA who may have full course or recitation responsibility, verification will also include a preliminary lecture/audition or a demonstration with the opportunity to answer questions before a class or a faculty committee. Developmental courses and activities, or alternative opportunities for assistantships, will be provided to the GTA who does not meet acceptable standards of English language proficiency. However, the campus hiring unit is under no obligation to provide long-term financial assistance for a GTA who does not have the requisite English language proficiency.

If a campus has an Office of International Studies, it will be requested to cooperate with campus and departmental programs for international graduate teaching assistants (IGTA) to facilitate their awareness of the culture of the American university classroom and the approaches to communicate effectively to typical undergraduate students.

Faculty members who train, supervise, mentor and evaluate GTAs do so as a component of their academic assignment. Such faculty will be recognized for their work and accorded opportunities for additional training and professional development.

Graduate teaching assistants must be graduate students in good standing in their programs, which requires maintaining a minimum B average, or, at some campuses, receiving no grade lower than B.

Universities will honor effective graduate teaching assistants by establishing appropriate awards and honors to recognize them for outstanding teaching.

Universities must establish and maintain effective channels for communication and dialogue between all populations of the university community affected by the work of graduate teaching assistants. This communication may be facilitated in the following ways:

Appropriate representation of GTAs on campus-wide and departmental student-faculty committees. The nature of this representation will be determined by each constituent campus in accord with its administrative policies and procedures.

The preparation and appropriate distribution of a brochure by each campus which discusses the role, selection, preparation, and supervision of GTAs.

It will be the responsibility of the Graduate School, or another appropriate administrative unit as designated by the chief academic officer (CAO), to oversee and facilitate the training, mentoring, supervision, and evaluation of graduate teaching assistants. To insure the implementation of these guidelines, the following policies and procedures will be continued, or if not in place, established at institutions which use graduate teaching assistants to teach undergraduate courses:

The Office of Graduate Dean, or other appropriate administrative unit as designated by the CAO, will prepare a report or a section of the unit's annual report on the effectiveness of GTAs, their utilization on campus, their compensation, training, and the impact of their teaching on the overall teaching mission of the school.

The graduate dean, or other appropriate administrative unit as designated by the CAO, will document annually to the CAO the impact and effectiveness of teaching by graduate students on the graduate students' learning and professional development. The report will certify that there is on record an explicit evaluation of each GTA by a faculty member to whom each GTA is assigned. The graduate teaching assistantship can be an integral part of graduate students' learning experience. Many departments require some teaching experience as a regular part of a student's graduate degree program.

Each program that utilizes graduate teaching assistants must file annually with the appropriate administrative unit, as determined by the CAO, a plan for the selection, funding, training, mentoring, supervision, and evaluation of graduate teaching assistants. This must include a formal training program, at least one preliminary lecture before a faculty observer, and explicit procedures for supervision and evaluation of GTAs. Formal evaluation of each GTA by an assigned faculty member must be on record. Programs and departments with small numbers of GTAs will be encouraged to pool resources and training opportunities with appropriately similar programs. The plans will include:

Definition of the teaching tasks and responsibilities.

Provisions for support, supervision, and training for each type of teaching assignment.

Provisions for feedback and evaluation.

Each campus shall report annually to the President on the implementation of these guidelines. The chancellors will be expected to transmit their annual report to UNC General Administration by November 1, covering the previous academic year. The first report will be due on November 1, 1995, covering the Academic Year 94-95. Format requirements for the annual report summary will be transmitted directly to the chancellors and chief academic officers.

III. English Language Competency of Graduate Teaching Assistants

The English language competency of international students who serve as graduate teaching assistants is a special concern of the Board of Governors and of the General Assembly. As noted above, the board's guidelines and policies speak specifically to this concern. Extensive procedures are in place, consistent with the best practices nationally, to assure the adequate English language proficiency of international teaching assistants involved in classroom, recitation, or laboratory instruction. To address this concern, funding is being requested to establish and support English as a Second Language (ESL) programs at North Carolina State University and the University of North Carolina at Chapel Hill. The programs will involve standardized testing, interviews, and videotape and live presentations to panels of students, faculty, and ESL professionals to determine levels of spoken English proficiency before making any laboratory or classroom assignments to international teaching assistants. Those students whose language skills are not adequate for an instructional assignment will be required to enter an ESL program to improve their spoken English proficiency and to orient them to the culture of American university classrooms. The requested funds will be used to employ ESL professionals and to provide the testing and instructional materials and equipment, tutorial and laboratory resources needed for the programs.

[This is a rewrite of Administrative Memorandum #349, and as amended by the Board of Governors Plan for Rewarding Faculty Teaching (April 12, 1996).]

Definition of Joint Appointment

A faculty member on a joint appointment hold's either tenure-eligible faculty rank or a special faculty appointment. The faculty member has a primary appointment in an academic department or college and one or more secondary appointments in academic departments, colleges, and/or programs.

General Principles

Every faculty member holding a joint appointment must have a "home" or "primary" unit which is her/his primary appointment. This home unit must be a college or academic department. In any given year the percent of his/her time committed to the primary department may be less than 50%; however, the home unit once designated does not change unless the joint appointment is renegotiated.

When a joint appointment is made, the salary of the faculty member is apportioned to the primary and secondary units according to an agreement worked out on an individual basis. Once this appointment is made, it is not subject to change unless the joint appointment is renegotiated with the Provost. This appointment continues in effect for as long as the person is employed by the University unless otherwise specified in the letter of agreement. The primary unit designation is not altered by subsequent changes in the distribution of salary.

At the time of the joint appointment, a letter of agreement must be entered into by the faculty member and the University that specifies how this policy statement particularly applies to the faculty member. It should cover faculty duties and responsibilities to the primary and secondary units (including voting privileges and committee service expectations) in faculty evaluations and other unit or faculty governance matters.

For a faculty member on a joint appointment who holds tenure-eligible faculty rank, tenure and promotion are granted through the primary departmental review with advice from the secondary unit(s).

For a faculty member on a joint appointment who holds a special faculty appointment, the conditions set forth in Section 3.4 of Tenure Policies, Regulations, and Procedures are applicable.

Policies Relative to Promotion and Tenure

When a tenure-eligible faculty member 'holds a joint appointment, the annual probationary review as well as reviews related to the awarding of promotion and tenure are to be conducted in the following manner:

Promotion and tenure review is to be conducted and decided according to the procedures of the primary department with advisory information obtained from the secondary unit(s).

The primary department will request an assessment of performance in the secondary unit(s). Advisory information will be provided by the secondary unit(s). The primary unit will keep the secondary unit(s) (and, if applicable, the dean of any secondary college) fully informed as decisions are made. This advisory information from the secondary unit(s) will become a part of the documentation that is forwarded for review to the next administrative level.

Salary Adjustment

Both tenure-eligible faculty members and specially appointed faculty members on joint appointments will participate in annual review for purposes of salary adjustment in the following manner:

The faculty member will prepare a report for the primary unit, and a report for each of the secondary units. Each report assesses teaching, scholarship, and service activities relative to that unit according to the format prescribed by that unit.

The administrator of each unit will provide his/her dean with assessment and recommendation regarding a salary increase relative to the portion of the salary held in that unit. It is the responsibility of the dean(s) to consider appropriate off-the-top adjustments from the dean's pool(s) and for making recommendations to the provost for additional adjustments.

In the case that the primary and secondary units are in the same college, the dean will arbitrate serious disagreements and in cases in which these units are in different colleges, the deans involved will perform this function to ensure that the mission of the University in terms of interdisciplinary programs is being achieved.

Support and Services

The letter of agreement signed by the faculty member and the University should specify how support such as computer hardware and software, travel funds, and office space will be supplied.

Grants and Contracts

The amount of indirect costs returned to the primary and * secondary units will be proportional to the grant-related released time as reflected in the proportion of salary each unit contributes to the grant.

Regardless of which unit(s) is/are the recipient of indirect cost return, administrators of both the primary and secondary units and appropriate college dean(s) will sign all grants and contract proposals.

(Approved by Faculty Council on February 15, 1996 and received by the Executive Staff on February 26, 1996)

Non-Tenure Track Appointments

Non-tenure track faculty appointments may include professorial ranks identified with such descriptive terms as Clinical, Research, or Teaching. These descriptors may be used to define non-tenure track faculty ranks more clearly. Other descriptors may be used as well. The descriptor Clinical is used to designate an individual whose major role is primarily related to clinical or practical professional professional education or to the service mission of the department. The descriptor Research designates a faculty member whose primary responsibility is conducting research. Typically, these individuals are paid from grant or contract funds, as described in University Policy 101.16, Research Appointments. The descriptor Teaching is used to designate faculty primarily responsible for assisting in a department’s educational mission. Teaching appointments at professorial ranks are to be distinguished from lectureships. Teaching professors must have a terminal degree in the discipline and have educational responsibilities beyond classroom instruction and advising.

The designations of Lecturer or Senior Lecturer are used to indicate appointments to full time, non-tenure earning, teaching positions. Lecturers will generally be master’s prepared faculty, hired for an initial appointment of three years. Reappointments may be made for periods of up to five years. Lecturers may be considered for promotion to Senior Lecturer following review at the college level.

According to the Code of the University of North Carolina, “All appointments of visiting faculty, adjunct faculty, or other special categories of faculty such as lecturers, artists-in-residence, or writers-in-residence shall be for only a specified term of service. That term shall be set forth in writing when the appointment is made, and the specification of the length of the appointment shall be deemed to constitute full and timely notice of non-reappointment when that term expires. The provisions of Sections 602 (4) and 604 A shall not apply in these instances.” This provision also applies to those in clinical, research, or teaching faculty positions.

Other Appointments

Adjunct should be used to designate individuals who are not full-time employees of the University or the Division of Academic Affairs but who are appointed to the faculty to perform instructional, research, and/or service functions. Visiting is a courtesy title used to designate a short term faculty appointment of two years or less in which an individual has the requisite terminal degree and other qualifications needed to assume a professorial title within a department or college. The visitor may be from another institution of higher education or from an appropriate organization or agency. If the individual is from an institution of higher education, he or she shall generally be given a rank that is equivalent to the rank held in his/her home institution with the designation Visiting added to the title.

The primary faculty appointment is in an academic unit through which a faculty member has a primary academic affiliation. It is from this unit (usually a department, school, or library within the institution) that recommendations for appointment, promotion, tenure, and other actions concerning a faculty member are initiated. Primary appointments are not held in centers, laboratories, programs, or institutes.

An individual faculty member may hold one or more secondary appointments outside the academic unit of the primary faculty appointment. These appointments are used to recognize interdisciplinary contributions to research or teaching. No tenure is possible through the unit making a secondary appointment.